Citation
A discourse analysis of expository Appalachian English

Material Information

Title:
A discourse analysis of expository Appalachian English
Creator:
Montgomery, Michael, 1950-
Publication Date:
Language:
English
Physical Description:
viii, 182 leaves : map ; 28 cm.

Subjects

Subjects / Keywords:
Anaphora ( jstor )
Counties ( jstor )
Discourse ( jstor )
Field research ( jstor )
Language ( jstor )
Linguistics ( jstor )
Monologues ( jstor )
Narratives ( jstor )
Spoken communication ( jstor )
Towns ( jstor )
English language -- Dialects -- Tennessee -- White Pine ( lcsh )
English language -- Discourse analysis ( lcsh )
Genre:
bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

Notes

Thesis:
Thesis--University of Florida.
Bibliography:
Includes bibliographical references (leaves 172-181).
General Note:
Typescript.
General Note:
Vita.
Statement of Responsibility:
by Michael Bryant Montgomery.

Record Information

Source Institution:
University of Florida
Rights Management:
All applicable rights reserved by the source institution and holding location.
Resource Identifier:
06442834 ( OCLC )
ocm06442834
0023314048 ( ALEPH )

Downloads

This item has the following downloads:


Full Text











A DISCOURSE ANALYSIS OF
EXPOSITORY APPALACHIAN ENGLISH





BY
MICHAEL BRYANT MONTGOMERY

















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























Copyright 1979

by
Michael Bryant Montgomery










ACKNOWLEDGMENTS


For their assistance to me throughout my graduate studies and

especially in undertaking the fieldwork for this dissertation I am

indebted to my parents. In many ways this dissertation would have

been impossible without them, and to them I dedicate it.

The fieldwork for this dissertation could not have been carried

out without the gracious assistance of my contact persons in White

Pine, the Atchleys-Earl, Emogene, Steve, and Philip-who enabled

me to make the necessary contacts with and to establish a rapport

with my informants. To them I will always be grateful.

I also wish to thank the people of White Pine for their hospital-

ity. Their open-hearted welcome and open invitations to return will

long be appreciated.

To the chairman of my committee, Professor William J. Sullivan, I

am thankful for patient direction and many invaluable suggestions.

To the other members of my committee, Professors Jean Casagrande,

Robert Thomson, Roger Thompson, and Norman Markel, I am grateful for

patient tolerance of an erratic and hurried submission of my work.

My colleagues at the Department of English at the University of

Arkansas at Little Rock deserve thanks for their encouragements to

finish this work this past year.

Finally I wish to thank Professor Robert Longacre of the Summer

Institute of Linguistics for his invaluable personal advice to me.









TABLE OF CONTENTS

Page
ACKNOWLEDGMENTS ................ ....... .... iii

ABSTRACT . .. vi

CHAPTER I INTRODUCTION .... 1

General Remarks ................... .... 1
The White Pine Setting ................... 4
The Economic Life of White Pine ... 15
The Religious Life of White Pine .. 17
The Southern Appalachian Region .... 20
The Study of Appalachian Speech .... 33
Fieldwork Procedures ..................... 38
The Sample ................... .... 50
Transcription Procedure ... 53
Fieldwork Journal and Interview Catalog .. 56
Explanation to Informants .. 57
Taping of the Interviews ... 58
The Value of Fieldwork .... 58
Notes .......... .... .............. 60

CHAPTER II BACKGROUND AND METHODOLOGY ... 61

Preface . .. 61
Discourse Studies and the Approach of This Study. ...... 62
The Study of Monologue Expositions .. 72
Oral Paragraph and a Review of Paragraph Studies. .. 74
Longacre's Typology of Discourse Genres .. 84
Notes . 88

CHAPTER III THEMATIC DEVICES .... 89

Introduction ......................... 89
Left Dislocation ................... .... 96
The Variety of Forms .................. 97
Specifications ................... .. 104
Functions . .. 109
Relationship to Subsequent Discourse .. 117
Existential Sentences as Thematic Devices .. 124

CHAPTER IV DEICTICS AND SUMMARY DEVICES. .. .... 131

General Remarks ....................... 131
Left Dislocation with Deictics ... 136
Extrapositions with Deictics. ... 137









Page
Identifying Clauses with Deictics. .. 139
Peak Sentences ................... .. 143

CHAPTER V CONJUNCTIONS AND INTRODUCERS. .. 154

CHAPTER VI SUMMARY AND CONCLUSIONS .... 161

APPENDIX A LIST OF INFORMANTS. 163

APPENDIX B SAMPLE INTERVIEW. .. 164

BIBLIOGRAPHY ....... ............ ....... 172

BIOGRAPHICAL SKETCH .. .. 182









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



A DISCOURSE ANALYSIS OF
EXPOSITORY APPALACHIAN ENGLISH

By

Michael Bryant Montgomery

August 1979

Chairman: William J. Sullivan III
Major Department: Linguistics

This dissertation contributes to the fields of discourse anal-

ysis and Southern Appalachian studies by describing the discourse

functions of several linguistic structures from a large sample of

spontaneous expository (explanatory and descriptive) discourses for

a cross-section of informants from a small East Tennessee hill commu-

nity. The community, White Pine, is a typical Southern Appalachian

one.

Five different contexts are taken into consideration for the

examined linguistic structures: 1) Speaker Type (a representative sam-

ple of forty informants was interviewed); 2) Frequency of Occurrence

(data are quantified when possible); 3) Social Situation (researcher

assumed one role with his informants); 4) Task (a standard interview

was controlled to elicit only expository discourse); and 5) Linguis-

tic (the sentence and discourse position of all data was considered).

This study is based on the premise that speech is hierarchical









as well as linear in structure, that it has, in other words, struc-

tural units larger than the sentence. It hypothesizes in particular

that speech has paragraph structure. If this first hypothesis is

true, oral paragraphs should be describable to some degree of pre-

cision and generality.

Paragraphs may be viewed as having phonological, lexemic, and

grammatical structure. This study examines their grammatical struc-

ture and makes a second hypothesis: that the grammatical structure

of oral expository paragraphs is organized by certain surface struc-

ture cohesive devices. It investigates this hypothesis by considering

the functions) and distribution of the following devices:

1) Introducers of themes into the stream of discourse. Such

introducers include left dislocation (as in "My mother, she's a great

cook"), existentials (as "There's a man here to see you"), it-clefts

(as "It was my brother who called") and WH-clefts (as "What I did was

to completely strike out").

2) Deictics (pointing words such as "that" and "this"), both

cataphoric (forward-pointing) and anaphoric (backward-pointing).

Structures examined are that-extraposition (as "That is good that John

finally left"), identifying sentences (as "That's what I meant"), and

peak sentences (as "That's the best thing is to leave early").

3) Introducers and conjunctions ("and," "but," "now," "then,"

"like," and others) when they accompany left dislocation and assist

in introducing themes.










All structures are examined with the view of identifying what is

typical about them, which is why they are quantified numerically when-

ever possible. This is to insure that the data are not chance findings

of random observation.

It was found that spontaneous expository monologues contain super-

sentential units that are thematically unified and that various surface

structure cohesive devices play significant roles in creating such

unity for the benefit of a hearer. These units are shown to be oral

paragraphs.













CHAPTER 1

INTRODUCTION


General Comments

This dissertation describes the discourse functions of several

linguistic structures from a large sample of spontaneous expository

discourses for a cross-section of informants from a small East Ten-

nessee hill community. The community, White Pine, is viewed as ty-

pically Southern Appalachian. This dissertation thus contributes to

both discourse analysis and Southern Appalachian studies.

This study is based on a set of forty interviews conducted by the

researcher between December 1977 and February 1978 and averaging

slightly more than an hour each in length (forty-five hours total).

The interviews consisted of a small core of questions and were de-

signed to elicit large amounts of expository (explanatory and descrip-

tive) discourse from the informants in the form of spontaneous mono-

logues. Subsequently the interviews were transcribed orthographically

and constitute a 1,070 page typed corpus from which data in this dis-

sertation are taken.

Language, as a social instrument, consists of a set of systematiz-

able patterns of social behavior. These patterns, although presumed

to be repetitive and systematizable on all levels, have been largely

ignored for English at levels above that of the sentence. The








essential claim of this dissertation is that oral discourse structure

must be considered primary to written discourse, a principle which

has long been axiomatic for other levels of linguistic description

(Bloomfield 1933:21ff.). In studying oral discourse linguists have

heretofore dealt with highly formularized types (folktales and other

narratives) in English and not with spontaneous expository discourse.

This study is based on the premise that speech is hierarchical

as well as linear in structure, that it has, in other words, struc-

tural units larger than the sentence and that it has structures whose

domains extend to groups of sentences. Further it leads to the

hypothesis that speech (expository in this case) has describable

paragraph structure.

Oral paragraphs may be viewed as having three different kinds

of structure: phonological, grammatical, and lexemic (Klammer 1971).

This study examines their grammatical structure and its second hypoth-

esis is that the grammatical structure of oral expository paragraphs

is organized by certain surface structure cohesive devices (as des-

cribed by Longacre and Levinsohn 1978). It investigates this hypoth-

esis by examining the functions) and distribution of the following

devices:

1) Introducers of themes into the stream of discourse. Such

introducers include left dislocation (as in "My mother, she's a

great cook"), existentials (as "There's a man here to see you"), it-

clefts (as "It was my brother who called") and WH-clefts (as "What I

did was to completely strike out").

2) Deictics (pointing words such as "that" and "this"), both








cataphoric (forward-pointing) and anaphoric (backward-pointing).

Structures examined are that-exptraposition (as "That is good that

John finally left"), identifying sentences (as "That's what I meant"),

and peak sentences (as "That's the best thing is to leave early").

3) Introducers and conjunctions ("and," "but," "now," "then,"
"like," and others) when they accompany left dislocation and assist

in introducing themes.

All devices are examined with the view of identifying their

typical functions) and distribution within greater discourse block

structures. Hence they are quantified numerically whenever possible.

This is to insure that the data are not chance findings of random

observation. Also to insure the nature of the data gathered, five

different parameters are controlled in this study:

1) The speaker context (a representative sample of forty infor-

mants was interviewed);

2) The frequency context (data are quantified whenever possible);

3) Social context (a matter of controlling the speech style

elicited; the fieldworker-researcher assumed one role with all infor-

mants);

4) Task control (interview was controlled to elicit only explana-

tions and descriptions from informants);

5) Linguistic context (the sentence and discourse position of
all data was taken into account).

For the most part (except the fourth and, in part, the fifth),
these have been controlled in the studies of Labov. Labov









(1966, 1972) has controlled the first two by adopting random sampling

techniques and quantitative analysis of his data. He has controlled

the third by deliberately eliciting several different speech styles

(four in his New York City investigations). And he has taken into ac-

count the sentence context of data by devising the variable rule (Labov

1969). The present study, however, controls both the task context and

the discourse position context. Recent studies in the ethnography of

communication approach take the task and discourse position into ac-

count but tend to ignore the others.

This study, in investigating a selection of surface structure co-

hesive devices, found that they were to a significant extent used by

speakers to communicate thematically unified blocks of information to

hearers and that they reflected the grammatical structure of para-

graphs. This confirms the hypothesis that oral expository speech

(Southern Appalachian in particular) has describable paragraph and

discourse structure.



The White Pine Setting
The small East Tennessee hill town of White Pine (White PIne to

its inhabitants), in which the interviews for this dissertation were

conducted, is no longer the rural village it was only a little more

than a generation ago, and no longer is farming the principal occupa-

tion of its residents. Today the town of White Pine is primarily res-

idential, a "bedroom" community (in 1970, eight times as many of its

people derived their livelihoods from manufacturing as from farming),









and a majority of its citizens are supported by employment in facto-

ries which located in the surrounding area after the Second World War

because of the labor surplus and the low taxes. The factories re-

tarded the emigration so disastrously prevalent throughout East Ten-

nessee as well as other areas of Southern Appalachia in the past two

generations and attracted workers from the foothill and mountain areas

farther east, so that White-Pine's population has continued to grow

steadily since the war (from 1,035 in 1950 to 1,530 in 1970 to 1,622

in 1975 to-unofficially-1,830 in 1977). It remains, however, a

cozy, closeknit (many would say "clannish") community despite the in-

flux of new residents in recent years. Never has it needed more than

one stoplight, and its mayor still dutifully accepts his annual one

hundred fifty dollar check for his thirty hour a week job.

In this study, "White Pine" designates the White Pine community,

consisting of the town and adjacent neighborhoods and having a popula-

tion of approximately 3,000 persons. It is the White Pine community

wherein the forty interviews for this study were conducted.

White Pine (refer to the map on page 6) lies at the extreme

northeastern corner of Jefferson County, forty miles east northeast

of Knoxville and within view of the Great Smoky Mountains. Seven

miles north on Highway 25E is Morristown (population 30,000+) and

five miles south is Cocke County (infamous for its rumrunning in the

20's and sometimes called the "Moonshining Capital of the World" dur-

ing that era). East of White Pine are its sister and erstwhile rival,

but incorporated, community Leadvale and the Nolichucky River; south

and west is Douglas Lake, a Tennessee Valley Authority reservoir.


























>0

-




LL LL

IL
0 6



Ytl


Figure 1.1 Jefferson County, Tennessee
(Source: East Tennessee Development District)









Jefferson County (1960 population 21,493, 1970 population 24,940)

lies in the ridge and valley section of the Great Valley of East Ten-

nessee between the Cumberland Plateau and the Blue Ridge. Today it is

sandwiched between the TVA reservoirs, Cherokee Lake (the dammed Hol-

ston River) and Douglas Lake (the dammed French Broad River) built in

the 1930's. The county is one of the earliest settled areas of what

was to become the state of Tennessee. The Holston, which formed the

county's northern border, brought settlers in from the northeast,

from upper East Tennessee and from Virginia (through the Shenandoah

Valley), while the French Broad, which largely determined Jefferson

County's southern extent and which flows west from Asheville after

flowing north, routed newcomers from the east into the area. Many of

these had received dispensations of land for Revolutionary services.

The county's first white residents arrived in 1783, thirteen years

before Tennessee became a state. The county seat, Dandridge, was

incorporated in 1793.

Settlement in the White Pine vicinity goes back nearly two hun-

dred years, as shown by the fact that two of its present-day churches,

Westminister Presbyterian and Beth Car Methodist, were first organized

in 1787. Although the town of White Pine was not incorporated and

named until 1893, it achieved the status of a community and the char-

acter of a town (and was called "Dandridge Crossing") when a railroad

stop and a post office were established there shortly after the Civil War.

A number of today's White Pine residents can trace back their ancestries









many generations in White Pine itself; some are descendants of the

original settlers in the area.

The rolling terrain of the White Pine area is better than average

farm and pasture land, with corn, tobacco, and wheat being the staple

crops. Although not in the mountains itself, White Pine lies in the

center of the region referred to as Southern Appalachia and is in many

respects a typical small town of the region. Although it is sometimes

supposed that all Appalachian communities are socially and culturally

homogeneous, only the extremely isolated areas actually are. There-

fore White Pine is perhaps more typical of Southern Appalachia because

it is neither homogeneous nor isolated.

To the outsider, White Pine seems a slow-paced and unassuming

small town, all of whose residents know one another. It seems to be a

town with few pretentions. On a not atypical day one can get a good

flavor of the town's personality by visiting the town's center of ac-

tivity and one of its chief public forums, the drugstore at Main and

Maple, where the mayor, the chief of police, one or two city aldermen,

the town's physician, and a local minister hobnob over coffee.

Such an appearance would be rather deceptive, for in recent years

White Pine has entered a period of great transition socially and eco-

nomically. It has also considerably changed in the way it views it-

self (the near doubling of the town's population since 1960 through

annexation and immigration would suggest this anyway). Life has be-

come more complex for its residents as the changes have come. For

such a long time White Pine resisted change of any kind that many of









its citizens feel that the current pace of change in housing, in the

economic pressures on the town, and in the arrival of new people de-

manding more from the town than it can offer is accelerating out of

control. Not too many years ago White Pine residents did pretty much

know everyone else in town, but with new residents recently moving in

faster than ever, they feel uneasy and sense a lack of cohesiveness

they once took for granted. Many of the longtime residents have a

strong sense of the symbiosis of the community, of how everyone plays

a part in supporting the general welfare. A typical expression of

this was made by a thirty nine year old female:


It's a feeling of closeness and connentuity [sic]. If I could
draw you a picture, I would draw you a big ball of people all
wrapped up together, like worms. You know, like you're fishing
with worms, and all those worms are intertwined. That's the
way this town is.

For many, though, this sense of closeness and symbiosis is inseparable

from the "traditional" way of doing things, so that change is threat-

ening.

Probably the most important event in the past fifty years for

White Pine and East Tennessee is the arrival of TVA. For White Pine,

the coming of TVA has in a sense been responsible for most of the

changes during the past forty-five years (TVA began in 1933, and the

construction of Douglas Dam near White Pine began shortly thereafter).

TVA's initial effect was to dislocate many farmers in Jefferson County

from good bottom land and to resettle them, which was the cause of some

resentment. Today few people in the county regret the changes TVA made









possible. As one sixty-year-old farmer who witnessed the relocation

of the thirties put it,


...the landowners were against it. They didn't want uh, they
didn't want to move out....Of course, we realize now that TVA
is our, our main uh source of energy and power and so, I don't
know what we'd do without it.


TVA, through its water management and its provision of electricity, set

the stage for the ensuing economic development of the area, for the

profitability of agriculture, and especially for the coming of indus-

try. Since the war several dozen major factories have relocated to

East Tennessee.

Until after the Second World War and the locating of the facto-

ries White Pine was very much an isolated farming community. Its

sphere of interest hardly extended beyond its boundaries. A half dozen

stores provided the necessities and there was little pressure to de-

velop the town residentially, commercially, or industrially. The sen-

timent was to keep the town as quiet as possible and to keep any con-

scious development out. This is how the state of affairs in White Pine

remained, too, until only a few years ago. Eventually the preoccupa-

tion with prohibiting development was buffeted by demands for more

housing, for recreational facilities, and for planning in general, so

the town has had to undergo considerable growing pains in meeting these

demands. These pains will persist for a long time because the pres-

sures, primarily from the younger generation, will continue.

The most profound development in White Pine over the past thirty

years has been its evolution into a "bedroom" or almost strictly









residential community. Until a generation ago, most people in White

Pine grew up on the farm, but with the coming of industry came rising

economic expectations and consequently a revolution of rising demands

for private residential housing. These demands have partially been met

by the parceling up of farmland into lots and a mobile home park, but

as another generation has grown up, it has become acutely obvious that

the town especially lacks social activities.

In White Pine the principal social institutions are the churches

(ten in the community), and more than likely any social get-together or

meeting will be church-sponsored. Although there are several organized

civic groups (Ruritans, Lions, Beta Sigma Phi) in town, there is little

regular social activity. The occasional special event (church revival,

political candidate speech) may attract a group of citizens, and the

annual Pine Festival is an event that meets some of the social needs of

the town.

The Pine Festival, sponsored by the local Beta Sigma Phi and begun

in 1967, is a one-day collection of shows, contests, and displays held

on July 4 each year. The festival has become the focal event of the

community's life because it is the one occasion when a majority of its

people take part. The festival integrates the community and gives it

a greater sense of self-identity than it has ever had because it is hea-

vily patronized by people from surrounding counties and communities.

Although there is tremendous socioeconomic disparity between the

very rich and the very poor in the community, one finds little overt

residential segregation by economic status. As the thirty-nine-year-









old female quoted earlier put it,


...there are very, very wealthy people in this town, and there
are very, very poor people in this town. But to save my life,
I can't tell you what the difference is. I mean I can't point
to one person and say "Okay, this is a poor person and this is
a wealthy person." They, they blend.

This sentiment evidences the symbiosis referred to earlier.

One major division in the community is that between the middle

and older generations on the one hand and a large part of the younger

generation on the other. This division is a product of the rising ex-

pectations of the town referred to above. In general the community is

more optimistic about its future than a generation ago because of im-

proved local education. A comprehensive high school has been added and

a junior college has been opened five miles up the road. A more diver-

sified job market has also developed. But most youths with professional

and career aspirations still see inadequate prospects in the nearby

area. Many of them, once they leave White Pine, are embarrassed to be

from the town. Often White Pine is for them a place to escape, a place

that can and does trap its ambitious youth. One twenty-nine-year-old

male characterized the town's subtle pressures not to aspire:


...most of the people prior to uh the sixties, when I got out,
they, they were settled. The idea was to, when you got out of
that high school was to get married, cause marriage was stabi-
lization. You got married, you had children right then, as
quick as you could, because that made stay at home. You didn't
carouse. You didn't go on. You weren't apt to, to leave the
area and get involved in things that way.

This desire to escape is usually tempered by an attachment to the

familiar surroundings and personality of the town, though, so that some









of its college-educated citizens settle in town despite its lack of

opportunities. One twenty-five-year-old male college senior puts it

this way:

It's hard to say, you know, when the settling down comes, you
know, when, when I might settle down. I might settle down next
year, you know, or else it might be five more years from now,
maybe longer. But I like to think that I'd come back to this
town, you know. I, I think right now that it's still a fairly
good town, want to plant your roots.

Others choose to remain in the town because of a feeling of belonging

to the community, because they value the cohesiveness (although not as

tight as it once was) of White Pine and live without many of the ameni-

ties of larger communities.

As indicated earlier, White Pine is an underdeveloped community.

Thw town itself, in contrast with the surrounding area, has virtually

no industry and relatively few commercial outlets. It has no motel, no

entertainment outlet, and no restaurant. It has none of these things

by design and promises to resist them in the near future, content to

maintain its "bedroom" status. Although it is not accurate to call the

town entirely unprogressive, one finds that even the young and college-

educated members of the community sometimes have reservations about the

town's growth and expansion. The college senior quoted above says,

regarding "progress,"

progress is on its way. It's on its way, you know, but for
some reason I can't but feel a kind of remorse, you know, ..
it's a reaction that I really do feel sad sometimes and regret and,









and feel that progress is not, is not as good maybe as a lot of
people think it is. It has its disadvantages as well as its ad-
vantages, you know.

The effect of White Pine's resistance to growth and its sense of

community is that it is very slow to accept new residents, which causes

the outsider to view its people as clannish. With the accelerating im-

migration into White Pine, however, of people with a diversity of back-

grounds, the residents have had to learn to assimilate new neighbors

more quickly. The minister of the town's largest Baptist church moved

to White Pine from Kentucky in 1969. He describes the community's re-

ception of new people as follows:


I think the people in White Pine are very slow to accept you
within the community. They're very friendly, but a distant
friendliness. Uh they keep you at a distance, not only when
you move, but throughout your stay in White Pine to some de-
gree. Uh I find the people in White Pine very, very friendly
outwardly, but uh not across the board as in some communities.
They tend to stay within family groups or little cliques of
three or four families. There seems to be no broad base of,
of acceptance,...

This reluctance to accept newcomers manifests two salient traits-tra-

ditionalism and individualism-long considered characteristic of South-

ern Appalachian culture, as pointed out by Ford (1962:11). Later in

this chapter we examine four basic traits discussed by Ford and see how

they aptly characterize White Pine as an Appalachian community. But

first we survey the economic and religious sides of White Pine's life

and then put this study into the perspective of others on Appalachian

English.









The Economic Life of White Pine

White Pine has made significant economic strides in the past two

decades and has undergone a thorough economic transformation in the

past generation, but it remains in many important ways undeveloped.

The percentage of its population below the poverty line (19.4) is well

above the national average (approximately 12). Most of its citizens

must look beyond the city limits for their livelihoods.

Fortunately the surrounding ten mile radius of White Pine has been

able to provide considerable employment opportunities for the last

three decades. This employment has not only stemmed but also largely

reversed the serious problem of emigration of the labor force which

plagued East Tennessee and White Pine in the 30's, 40's, and 50's, al-

though it was not quite as severe as elsewhere in Appalachia, espe-

cially in the coal mining regions of Kentucky and West Virginia. This

reversal has largely been accomplished through the benefits accruing

from the development of TVA. In the 1940's, Jefferson County's emigra-

tion rate surpassed ten percent of its eligible adult work force, and

in the 1950's it was almost as high. But in the 1960's, immigrants

began to outnumber emigrants and the migration patterns underwent a

dramatic turnaround. In the 1970's, the county and especially White

Pine have seen a significant infusion of new residents and a decrease

in emigration. Employment prospects for incoming members of the job

market, although still limited, are better than twenty or thirty years

ago.

The dislocations brought about by the emigration over the years

have left their marks, though. White Pine has lost much of its Black








population (only 1.7 percent of its 1970 population was Black), and

many families have been split because the children have had to mi-

grate north to find jobs. This need to leave home for employment

was aggravated for many natives of East Tennessee and Southern Appa-

lachia by their inability to adjust to the urban North and their fond

attachment to home in the hills. Instances of their choosing to return

to certain unemployment or underemployment in the hills have been

frequently documented, as by Hicks (1976:29-30). This is perhaps not

so common in White Pine as in other areas in the region. A similar

attachment to native ground continues today; relatively few graduating

high school students and other new members of the labor force wish to

settle down elsewhere.

Almost entirely responsible for the improved economic profile for

Jefferson County and White Pine has been the tremendous growth of

local factories, especially those of the American Enka Corporation and

several major furniture firms. Attracting such industry to the area

have been the labor surplus, various tax incentives, and the availa-

bility of cheap electricity. By 1970, more than half (51 percent) of

White Pine's employed population was in manufacturing, eight times as

many as in agriculture, forestry, and fisheries combined (6.3 percent).

In the same year, trade, service, and finance supported another 23.1

percent of White Pine. Construction employed 9.1 percent, mining 0.4

percent, and all other types of employment, 10.0 percent. The move-

ment of workers into manufacturing has entailed the dissolution of the









tenant farming system and the development of more specialized agri-

culture in the area.

This is not to say that farming is no longer a major concern to

most of the people of White Pine. It is. It must be remembered that

most of its citizens are a generation or less off the farm- many of

them still religiously tend kitchen gardens of an acre or two. But

few citizens must still depend on it as their primary source of income.

The new sources of income, the factory payroll primarily, have

brought in their wake profound changes in White Pine (above p. 10).

The better income is more dependable than one might derive from farm-

ing. It has caused White Pine to become a bedroom community. At the

same time, the improved standard of living has raised the optimism of

White Pine's citizens for their future and especially for the future of

their children. For those wishing to break the cycle of having to go

to work immediately after leaving public school, there are more oppor-

tunities than ever before. Within the past decade a junior college has

opened only five miles away, and many of White Pine's youth have de-

cided to undertake some college work rather than enter the job market

right away. The area's economy, although still not providing suffi-

cient skilled positions, continues healthy at the same time that White

Pine, a self-sufficient community a generation ago, finds itself more

and more dependent on the surrounding area.

The Religious Life of White Pine

The community of White Pine lies in the region often referred to

as the "Bible Belt," so called because much of its population still









adheres to fundamentalist beliefs in the Bible and because of the role

of its clergy as both "preachers of the Word" and as community spokes-

men commanding political and social influence. The community of White

Pine is typical of the region. Not only are the churches by far the

most prominent institutions in the community, but also religious values

permeate so thoroughly every aspect of its life that it is simply quite

impossible to deal meaningfully with most aspects of the community's

existence without taking them into consideration.

Churches have long been numerous in Appalachia. A 1935 report of

the United States Department of Agriculture reported there were in 1926

as many as 3.25 churches for each 1,000 inhabitants. It might be

thought that such a high ratio would be accounted for by the fact that

few people could motor to church fifty years ago. But the present-day

ratio in White Pine is the same: ten churches for its approximately

3,000 inhabitants (3.3 per 1,000 people). Church membership, if not

necessarily participation in church activities, is almost required for

a White Pine citizen. Perhaps as much as eighty percent of the popula-

tion in the community are church members.

The two largest churches in White Pine, one a Southern Baptist and

the other a Missionary Baptist, have approximately one thousand members

between them, and the other eight are by no means all small congrega-

tions. Besides five Baptist churches (of several different affilia-

tions), there are two Methodist, two Pentecostal, and one Presbyterian

church. There is not a single non-Protestant church in the entire

county.









Throughout all of the churches one finds a firm fundamentalism

(Puritanical in kind for most churches). One finds also a strong com-

mitment to evangelistic activity and to the need for the individual to

undergo a conversion experience and for the congregation to support

missionary activities and frequent week-long revivals.

All the White Pine inhabitants refer to each one of the ten min-

isters in the community as "Preacher" regardless of an inhabitant's own

church affiliation. Undoubtedly this reflects the fact that until a

generation ago, local churches usually did not have their own ministers.

Rather, they shared a minister with one or more churches outside the

community (the days of the "circuit riders"). It also seems to reflect

the present-day notion that preaching the Word of God is the most impor-

tant duty a minister has. The epithet thus continues even though cler-

gymen have adopted all the everyday duties of the profession (counsel-

ing, visitation, etc.) in recent years. Preachers are also invested

with a great deal of moral authority in the community. They can wield

considerable political influence as well, if they choose, on many is-

sues of local import such as the granting of beer permits or of permits

for businesses to open on Sunday. These are quite important issues in

White Pine.

One finds little evidence of sectarianism in White Pine. There

seems little difference between the Baptists, the Methodists, and the

Presbyterians in either their theology or in their way of conducting

business. Indeed, they coexist quite harmoniously. One's church af-

filiation is viewed generally as dependent on the affiliation of one's

parents or one's spouse, not on one's personal convictions.










The foregoing does not strictly hold for the Pentecostals, who do

consider themselves to an extent to be a people apart. The extremes

of Pentecostalism in Southern Appalachia have long been pointed out

(as in La Barre's study (1964) on the snake-handling cult). One can

find congregations of "snake handlers" not more than twenty miles east

of White Pine in Cocke County. But people in the area overwhelmingly

view such practices as quite objectionable and offensive.

The primary functions of the church itself are to provide relig-

ious services and training for its members, yet in a community where

such a large percentage of the inhabitants are members, churches inevi-

tably offer more than the fulfillment of spiritual needs. Churches in

White Pine provide most of the organized social activities. Scheduled

weekend activities are relatively infrequent in White Pine, but any

given activity is more than likely a church-related one. Since 1975,

when the county's high schools were consolidated, the only organized

youth activities in White Pine are those that are church-sponsored.

In short, then, the influence of the organized religion in White

Pine is pervasive. The churches are viewed as having an indispensable

and rightful place in the life of the community and in the life of the

individual.

The Southern Appalachian Region
Alghough the Appalachian Mountains extend thirteen hundred miles

from Vermont to Alabama, the region usually called "Appalachia" and









viewed as sharing certain distinctive cultural characteristics and

social and economic conditions encompasses the southern half of the

mountain range and includes as its core a sliver of North Georgia, the

eastern thirds of Tennessee and Kentucky, the western thirds of

Virginia and North Carolina, and the entire state of West Virginia.

This is in addition to a variety of fringe sections, depending upon

which demarcation of the region one chooses. Perhaps the most exten-

sive demarcation is the political one made by the Appalachian Regional

Commission. The Commission defines Appalachia by county, based on

economic conditions. Their "Appalachia" includes parts of Alabama,

Mississippi, South Carolina, Ohio, Maryland, Pennsylvania, and New

York, in addition to the core area mentioned above.

Gastil, whose regions are determined by sociocultural features,

considers the core area outlined above and a small corner of South

Carolina to be the "Mountain" area of the South (Gastil 1975:174ff).

Vance (1962) views the "Southern Appalachians" as a distinctive region

sharing agricultural and economic conditions, which covers parts of

West Virginia, Kentucky, Tennessee, North Carolina, South Carolina,

Georgia, and Alabama. The demarcation of the "Southern Highland" re-

gion by John C. Campbell (see map on the following page), a lifelong

student of the region, comprises the core area of portions of six states

and also the fringes of three others, a 112,000 square mile territory.

For Campbell, this area exhibits similar economic, educational, and re4-

igious characteristics. What is important for us is that, whatever the

delimitation of Southern Appalachia, the community of White Pine has always



















































Figure 1.2 Campbell's Southern Highland Region
(Source: Campbell 1921:xxxviii)









been considered in its heart. Further reason for designating White

Pine as an "Appalachian" community is presented below.

The linguistic analogue of Southern Appalachia is the South Mid-

land area (Kurath 1949, Kurath and McDavid 1961), which encompasses

the mountain districts and also most of Tennessee and considerable por-

tions of Mississippi, Alabama, and Georgia. This area, determined by a

combination of lexical, phonological, and morphological isoglosses, has

been traditionally viewed as more closely related linguistically to the

North Midland area (Pennsylvania and parts of Maryland, Delaware, and

New Jersey) than to the South.

The question of the relative affinity of linguistic and other

traits in Southern Appalachia (or the South Midland) to regions north

and south is still very much unanswered, in fact, but it will not overly

concern us here. In a provocative reassessment of the linguistic dis-

tinctiveness of the area, Bailey (1968) concludes there is no "Midland"

area at all which has a core of distinctive features and that North Mid-

land should be retermed 'Lower Northern' while South Midland be redesig-

nated 'Outer Southern.' Gastil views the cultural affinities as

lying closer to the South: "Culturally the mountains are an extreme

version of the Upland [South]" (1975:194).

All this is not to say, of course, that even the most restricted
definition of Southern Appalachia implies that it is socially homogene-

ous or that its people have a common background because they now may

share certain cultural or linguistic features or even a common outlook

on life. Yet commentators on the area, both native and non-native,










infer that its inhabitants are alike in ancestry and cultural back-

ground, especially on the basis of a number of linguistic relics

apparently distinctive of its people. The most extreme forms of such

inferences issue an assertions that Appalachian people are "Elizabe-

than" or that they preserve the "purest Anglo-Saxon blood in the United

States" or that they are "almost pure Scotch-Irish" (note the contra-

diction here). These inferences have formed a part of the chronic

misconceptions about the inhabitants of Southern Appalachia.

Even such a serious commentator as Campbell has abetted such

inferences by his statement that Southern Appalachian people form "a

definite racial group" (1921:xiv), although he conceived of

their having developed into such a distinct group of people by virtue

of "their common interests, hardships, and struggles" (p. 71) and not

by virtue of their lineal descent from one stock of Old World people.

His lengthy study of the surnames of early mountain settlers revealed

almost equal proportions of Scotch-Irish and English names, and a

large number of Germans as well:

Without a doubt the Scotch-Irish and English elements are the
strongest in the mountain population, though the Highland
people are not different from the Lowland Southerners in this
respect. The Scotch-Irish strain is strongest in some mountain
sections, the English in others; and in some communities may be
surmised an influence of German ancestry. (p. 71)

Several other groups, most especially the French Huguenots, were numer-

ous among the early settlers in Appalachia too. Thus the region's

present-day descendants are a hybrid, whencever came their language (a







handful of its features have indeed been shown to be carryovers from

Northern England and Scotland) or its musical or other traditions.

For a variety of unscientific and often impressionistic reasons,

however, the people of Southern Appalachia are reputed to be quite dif-

ferent from all other Americans. If they do not descend "directly from

the Scotch-Irish," there is a quaintness in their approach to life, it

is said, harking back to an earlier era, or their speech has a quality

and character indisputably unique. Not only does Appalachian speech

preserve various relics, that is, but it also has a distinctive quality

in a more general sense. The literature on the subject abounds in de-

scriptions of how mountain folk talk, more often than not written by

college-educated children remembering fondly earlier days in the hills.

Here are three representative descriptions:


There are certain peculiarities of enunciation which it might be
well to speak of here. For the Smoky Mountaineer the nose is as
much an organ of speech as the larynx. This is particularly no-
ticeable in old people, and may be because of the catarrh
brought on by constant exposure and diseased tonsils. The moun-
taineer drawls to an alarming extent, even more so than his
neighbors of the plantations. His voice is utterly without ca-
dence, almost a droning monotone. On the other hand, it has a
deep, resonant quality which catarrh and embarrassment never
wholly obliterate. (Walker 1939:3-4)

The mountaineer has clung to the Shakespearean word these many
years because he has not learned the modern word. Indeed, he
has had little contact with those who speak the modern word; and
since his surroundings and habits and thoughts have been largely
the same as they were in Shakespeare's day, he has had no need
for new or changed speech. (Coleman 1936:30)

As a race, the people of our southern mountains speak softly.
Even their most commonplace remarks somehow are made to sound
secret, and of greatest importance. The women especially speak
softly, their voices often plaintively sweet, pitched in a
minor key and lifting upward, so that the last word of every
sentence is almost sung. (Hannum 1969:29)









The contention in these excerpts is that the speech of Southern Appa-

lachian people has a marked flavor and character all its own, beyond

the presence of archaic expressions and words therein. Commentators

have long been at pains to account for this on the basis of one extra-

linguistic factor or another (isolation, pace of life, etc.). Cratis

Williams, lifelong resident of the mountains, attributes in part the

distinctiveness of the way people in the region speak to "the highland-

er's habit of thrusting his chin forward rigidly when he speaks."

(1961:10) Brewer and Brandes try to explain why Southern Appalachian

English impresses outsiders as so different by describing the kinesics

of its speakers, detailing the posture and the eye and body contact of

the typical speaker in the region.

Almost all the studies and comments on the speech of Southern Ap-

palachia have had the unfortunate effect, however, of lumping the en-

tire region together linguistically and assuming that it is homogeneous

within itself as well as distinct from other regions of the country.

To this date, very little attention has been devoted to regional lin-

guistic variation within Appalachia. Only the two linguistic atlas

projects, the Linguistic Atlas of the Middle and South Atlantic States

and the Linguistic Atlas of the Gulf States, have given significant

consideration to such variation. This presumption of underlying uni-

formity has been espoused frequently, as in Carpenter (1933). He con-

tends that the only "variation in the vernacular of the southern and

central Appalachians has been due to the difference in the degree of

isolation of the various sections" (p. 22). Most writers ignore the









subject of geographical variation entirely. This creates the impres-

sion that there is none. No attention was given until very recently

to variation by age, socioeconomic background, or any other variable.

This presumption of little, if any, variation is directly at odds

with the view of Southern Appalachian speakers themselves. They be-

lieve that Southern Appalachia has much subregional variation. Speak-

ers in the region as a rule (and White Pine exemplifies this well) con-

tend that they speak differently from neighboring communities only a

few miles down the road or one or two hills over, although it is diffi-

cult to tell what differences they have in mind. These subjective

views have occasionally been supported by statements in the linguistic

literature, as by Berrey: "the dialect may vary slightly with the lo-

cality, and even from family to family" (1940:46) Or by Walker: "It

must be realized that the speech of the mountaineer varies from one

district to another" (1939:6). Wolfram and Christian, in commenting

on vowel variation in southern West Virginia, state that "there are

apparent vowel differences from region to region within Appalachia.

Even within the restricted locale we have studied here, there is evi-

dence that several different vowel systems must be recognized"

(1976:64).

To what extent the term "Appalachian English" refers to a deter-
minable linguistic entity is then unsettled. On the one hand, some

commentators and Appalachian people recognize an almost hollow-to-hol-

low and community-to-community variation. On the other, such long-

time students of American English as Mencken (1963) and Wise (1957)









consider the dialect of the Southern Appalachian area distinct and

identifiable. One reasonable approach to the issue of whether the

term "Appalachian English" should be used is that of Wolfram, who

adopts the term and applies it to a "unique combination of linguistic

characteristics rather than structures as such" (Wolfram 1977:

97). For him, Appalachian English refers to a common denominator of

non-unique features which are still subject to variation for any given

district within Appalachia or for subgroups within such a district.

Since this study is designated as one on "Appalachian" speech,

this must now be justified and explained. This study does not inves-

tigate linguistic features dealt with systematically in earlier studies

on the speech of the Southern Appalachian region or of the speech of

any other variety of American English. It thus lacks the comparability

of evidence required to distinguish the speech of White Pine as "Appa-

lachian" solely on the basis of linguistic criteria, although nearly

all the features-phonological, lexical, and grammatical-usually

termed "Appalachian," as by Brewer and Brandes (1977), are found in

the speech of White Pine inhabitants. Nor does it adopt the design-

ation solely on the basis of White Pine's geographical location. If

it did, "East Tennessee" would have been used. Rather, the speech of

the inhabitants of White Pine is called "Appalachian" because the

community is, ethnographically speaking, an Appalachian community, on

the basis of several of those salient characteristics which have long

been associated with Southern Appalachia-individualism and self-

reliance, traditionalism, fatalism, and fundamentalist religion

(Ford 1962:llff.).









Throughout the literature on Southern Appalachia runs the view

that its people and culture are distinctive in at least a broad sense.

Most commentators on the region point out that a combination of such

traits as "fierce" individualism and mistrustfulness of all strangers,

among others, characterize the Southern Appalachian native and make him/

herdifferent from other Americans. White Pine is more of a valley than

a mountain community, and such characterizations have been more accu-

rate of the isolated communities in the region than of the urban and

valley sections of Southern Appalachia. This has sometimes been recog-

nized, as by John C. Campbell, who lived and taught in the region for a

quarter century. Campbell was concerned that some of his statements in

his The Southern Highlander and His Homeland would not be understood as

"applicable to the remote rural folk who were the particular object of

his study [and] were not true of their urban and valley kinsfolk"

(1921:xiv). But such characterizations, while sometimes extreme,

rarely claim that Southern Appalachia is culturally or socially homoge-

neous. White Pine itself is certainly neither. Yet several broad cul-

tural traits have for so long been pointed out as typical of Southern

Appalachian people that it is worthwhile to determine if they are ap-

plicable to White Pine and can enable us better to understand it as a

Southern Appalachian community. We will ocnsider the four traits or

themes mentioned above that Ford chose to examine by conducting a

region-wide survey of Southern Appalachia. Ford found these traits to

be significantly apposite to both urban and metropolitan communities,

although less so than to rural communities.









Ford surveyed nearly 1,500 homes in a region closely coterminous

with Campbell's Southern Highland region (page 22 above) in three dif-

ferent kinds of community-rural, urban, and metropolitan-with a

questionnaire devised to indicate the strength of four prominent

traits-individualism and self-reliance, traditionalism, fatalism, and

fundamentalist religion. It was hypothesized that, because of the eco-

nomic and social changes which had taken place after the Second World

War, a disparity between rural and non-rural manifestation of these

traits would be found. Although he did find some disparity, his results

show that the four traits he chose form a common denominator for Southern

Appalachia in general. Ford outlines his choice of traits in this man-

ner:


In examining the web of mountain life, one finds these themes
intertwined and generally, though not always, mutually support-
ing. Most so-called "mountain traits" are to be found in one
form or another throughout the nation, particularly in rural
areas. At the same time, each of them has its antithesis in
contemporary industrial society. The self-reliant individual-
ist, at least as an "ideal type," stands at the far end of the
scale from the much berated "organization man." Traditionalism,
not only in the sense of clinging to an earlier heritage but
also in the exaltation of resistance to social change, is viewed
as both anachronistic and vaguely immoral by a larger society
that values progress through rational, scientific endeavor.
Even more reprehensible to a culture that stresses achievement,
self-betterment, and mastery over nature is a passive resigna-
tion to one's situation in life, particularly if it is a situa-
tion viewed as both undesirable and remediable. Less subject to
censure by the larger society, perhaps, but contrasting as
sharply with its dominant values-and not immune from ridicule-
is the rigid, pervasive religious ethos of the [Southern Appala-
chian] Region. (p. 11)

Commentators on Southern Appalachia have long characterized its

people as individualistic, self-reliant, and non-social. Campbell









devotes an entire chapter (1921:90-122) to analyzing their individualism

and views their self-reliance as a result of their extreme isolation.

Horace Kephart, who lived in western North Carolina the first two dec-

ades of this century, characterizes the people as having "fiery indi-

vidualism" and as being "non-social" (1922:382-3) and goes on to say

Except as kinsmen or partisans they cannot pull together. Speak
to them of community of interests, try to show them the advan-
tages of cooperation, and you might as well be proffering advice
to the North Star. (p. 383)
More contemporary observers, Weller (1965:29ff.) in West Virginia

and Hicks (1976:39) in western North Carolina, document the same trait

among the sections of the region they observed.

When one looks at White Pine, such comments have a remarkable

applicability. The people are basically non-social, sticking to small

groups, not often unified in acting except in opposition to a proposed

local change, on a special occasion such as Pine Festival Day, or with-

in the small sphere of the kin group. Regarding their inability to

work together, a twenty-nine-year-old male resident of White Pine says

of his fellow citizens

They, they want to know, but they don't want to come out of their
shell long enough to get enough of it to expand. They fear ex-
pansion. This town definitely doesn't, it, one day they'll be
shocked into the fact that Morristown will try to annex them,
and there will be a total bar-, that will be the common bond
that brings them together. They will be, that will be the sup-
portive element would be to stand against some cause.
This does not contradict the statement above (p. 9) about the cohesive-

ness of the community; it means the cohesiveness is passive and residual.









The self-reliance of the region's people has another side to it, as

Ford (p. 13) points out, in their attitude of acceptance toward federal

welfare and assistance programs. Odum remarked over forty years ago that

the people of Southern Appalachia, "reputed to be the most individualis-

tic of all the regions, they cooperate most fully with flew Deal tech-

niques' (1936:97). Notwithstanding scattered initial opposition (primar-

ilyby those whose lands would be claimed by the reservoirs), the people

in the White Pine area and throughout East Tennessee have accepted and

cooperated with TVA's many programs. There was little reluctance to

accept whatever federal assistance was proffered.

The traditionalism and fatalism characterizing Appalachian people
areattributed to their struggle of many generations with the harsh reali-

ties of life in a region with few resources and little available produc-

tive land, according to Ford (1962:16). Weller (1965:33-40) shows how

such themes flow throughout mountain songs, stories, and daily attitudes.

In White Pine it is manifest in the strong and widespread doubts about

the value of change, of progress, and of post-high school education (see

quotes above, pp. 12-3). The twenty-nine-year-old male quoted above

says, regarding the community's residents,


They're...blinded really to what's, what's going on, I think.
They don't see their youth. They don't see, they don't see life
as progressing. They just see it as, as a tolerable state to be
in, and you just tolerate it now and hope for the future, yet you
don't work for it. You don't do anything working hand in hand.

As indicated above (pp. 8-9), recent changes and pressures for more

changes have made life more complex and confusing for many in White Pine.









The traditional way and pace of life in the community have been con-

sidered as something of a birthright. Many other things, such as po-

litical and religious affiliations, are also considered immutable

birthrights. Many wish keenly to pass all this on to the next genera-

tion.

Little additional commentary here (see pp. 17-20 above) is needed

to show how applicable is the fourth characteristic trait Ford studied,

fundamentalist religion, to White Pine. The community has no non-fun-

damentalist churches and the great majority of its citizens are church

members. Religious fundamentalism is probably the most powerful and

pervasive force in the community.

With reference, then, to the four characteristic traits Ford claims

to be consistently typical of Southern Appalachian people, it is obvious

that White Pine should be considered a typical community in the region.



The Study of Appalachian Speech
As Wolfram notes, Mencken once pointed out that the speech of the

Southern mountains had been studied more than that of any other region

except New England (Wolfram 1977:92). However, the sum total of lit-

erature on Appalachian English does not actually tell us much about how

people in the region speak. At best, most of the literature is little

more than anecdotal, dealing with a scattering of exotic words and pro-

nunciations, many of which indeed are archaisms. Very few writers have

actually asserted that Shakespearean English is or was spoken in the

mountains. But many have taken extreme pains to indicate usages in Ap-










Appalachian speech corresponding to usages in Spenser, Chaucer, and

especially Shakespeare. This creates the impression that the language

of the mountains is little more than a carryover from a bygone era and

another country. This is especially true when a commentator devotes

little attention to anything but such analogues.

One might go so far as to speak of a "typical" treatment of Appala-

chain speech in the literature. This is represented by Berrey (1940),

Bray (1950), Carpenter (1933), Combs (1916, 1931), Watkins (1949),

West (1966), and many others. The typical treatment contains the

following:

1) A brief description of mountain culture and of the mountaineer

himself, especially mentioning the most salient traits of his

personality and how he has adopted himself to his mountain

environment.

2) Discussion of various peculiarities of pronunciation, syntax,

vocabulary, usage, onomastics, and similes and other figures

of speech and expressions, with an effort to compare such with

Old, Middle and Elizabethan English whenever possible.

3) (Optional) A few remarks on how mountain speech is/has been

passing away, despite its expressiveness and color.

Coleman (1936) is a perfect example of this typical treatment. Her
first chapter points out the ancestry of the mountain people, shows how

they developed self-reliance in their isolated habitat, emphasizes the

fierce independence of their character, and shows the low position of

women in mountain society. In her second chapter, she covers a wide










selection of grammatical, lexical, and pronunciation features in

mountain speech from North Georgia, with accompanying citations from

sixteenth-century British literature wherever possible. In chapter

three she bewails the inevitable passing of the mountaineer with the

coming of modern education and technology, which will "wipe away for-

ever our admirable mountaineer with his quaint and delightful manner

and speech" (p. 30).

Even well-known early scholars of the speech of the region are

given to such vague statements as "in general, most vowels may be used

interchangeably. Most vowels may replace 'e,' 'i,' and 'u'" (Combs

1931:1315).

But the most fundamental deficiency of almost all studies of

Appalachian speech to date is that they provide absolutely no context

for their data. It is impossible to understand a language fully unless

we have information regarding five different kinds of context for lin-

guistic data:

1) Which part of the speech community uses the formss? (Old or

yound, middle or lower class, rural or urban speakers, etc.)

2) How often is a form used? (Is it categorical or extremely

rare or the predominant usage?)

3) In what kind of social situation is the form used? (i.e., What

style of speech is involved?)

4) What communicative task is a speaker performing when a form

is used?







5) What is the linguistic context of the form? (Where in the sen-

tence and in the discourse does it appear?)

Only when we have answers to all these questions can we establish what

context a form appears in and whether it is typical verbal behavior.

The history of the study of Applachian English has been chiefly a

history of the study of extreme forms, and only rarely is any context

noted for data which are cited. Despite an occasional remark that a

certain form "is still heard" or is "generally" or "frequently" used,

the clear implication of most studies is that all the speakers in the

community under consideration use the forms cited all the time and in

every social situation.

The tendency to deal with the atypical (and hence unrepresenta-

tive) speakers and forms infects even works which are otherwise linguis-

tically sound. This temptation is very strong. Joseph S. Hall's tho-

rough and invaluable study of the phonetics of the speech of the few re-

maining residents of the Great Smoky Mountain National Park was under-

taken, he confesses, because he believes in this speech, which "has so

long been removed from the main currents of American culture, there would

remain vestiges of earlier stages of the growth of the English language"

and which also would not have "the deep impress of the schoolmaster's in-

fluence" (1942:4). Brewer and Brandes (1977) present only the extreme

features of Appalachian English for the benefit of schoolteachers who

will teach in Appalachia.

Two recent sociolinguistic studies, Hackenberg (1972) and Wolfram
and Christian (1975, 1976), take into account the first two contexts

(who uses the form and how often is it used?), but neither controls the





37

other three in their investigations. Wolfram and Christian's study,

based on interviews made in the mountains of southern West Virginia,

classified their speakers socioeconomically and carried out quantita-

tive analyses of many of the linguistic forms they discuss, thus pro-

viding the speaker and frequency contexts for their data. Yet they

do'not choose to base their work on a representative sample because

they were "primarily concerned with the language variety which might

be considered most divergent from some of the more mainstream varieties

of English" (1976:10). Their work is also written primarily for the *

educational community and one-fifth of their book deals with the educa-

tional implications of dialect diversity.

Hackenberg divides thirty nine residents of Nicholas County, West

Virginia, into four classes on the basis of education level attained and

occupation and quantifies the occurrence of '!non-standard" verb agree-

ment and subject relative pronoun deletion for his four classes. He

thus takes the first two contexts into consideration and even gives some

attention to the fifth context mentioned above, the linguistic context,

for his two linguistic features. The present writer demonstrates else-

where (Montgomery 1977b) that his treatment of the linguistic context is

too simplistic.

A description of speech is ethnographically justifiable only if all

five contexts are controlled and taken into account. Only then can it

be claimed that the behavior described is typical (see the discussion of

the Malinowski/Firth "context of situation" later in this chapter).

This present study has striven to control all five. Thus it makes a

unique contribution to the study of Appalachian English.









This study is based on a representative sample of forty infor-

mants in a Southern Appalachian community of approximately 3,000 per-

sons. It quantifies the linguistic features it examines both in terms

of which speaker used them and in terms of possible occurrence of the

feature (whenever possible). It controls the social situation in which

its data occur (see the discussion of the ethnographic parameters and

the role this fieldworker adopted for himself later in this chapter).

This study controls the task its informants were performing by elicit-

ing only expository (explanatory and descriptive) discourses, and it

controls the linguistic context of its data by considering the sentence

and especially the discourse contexts of data.


Fieldwork Procedures

The fieldwork upon which this dissertation is based was carried

out over a period of about two months, from December 1977 through Feb-

ruary 1978. The fieldworker/researcher spent most of his time in the

community of White Pine during this period. This section details the

process whereby he set up, undertook, and completed his fieldwork. It

also provides the rationale for the type of interview and the ethno-

graphic parameters adopted. Altogether six weeks were devoted to the

actual interviewing, one week (in the field) to preliminary fieldwork,

and a period of several weeks to preparation before he reached the

fieldwork site.

Two steps were taken before the researcher reached the White Pine

site. First, an ethnography of the White Pine and surrounding areas was









prepared. As thorough and as broad an ethnography as possible is in-

dispensable to successful and accurate anthropological and linguistic

fieldwork. It is necessary to explain this point in regard to linguis-

tic research in general and to this project in particular.

Speech is social behavior par excellence. As Hymes indicates, it

is the "nexus between language and social life" (1971:42). We cannot

accurately describe language Cor, as Malinowski would say, meaning)

without reference to its role in society and the setting, participants,

events, acts, norms, etc., which it involves. Speech must be viewed as

permeating and not just overlaying most social behavior; therefore, de-

scription of such behavior must make reference to language and its

forms.

No aspect of a culture can accurately be described without explica-

ting its interrelationships with and dependencies on other aspects of

the culture. This has been more or less axiomatic since Malinowski's

ethnographic work among the Trobriand Islanders more than sixty years

ago. Malinowski insisted that a researcher approach a way of life as

a whole, as full of interdependencies, as an integration of life. Only

the application of the most rigorous techniques and standards for the

collection of data of all kinds-material, linguistic, topographical,

personal, ceremonial, among others-could enable the adequate explica-

tion of the "context of situation," to use the term Malinowski (1923:306)

himself coined. All pertinent data must inform an understanding of a

context of situation before a generalization can be made, in other

words. For Malinowski, a context of situation is at the same time









broader and immensely more useful than the concept of a "linguistic

context": "Even as in the reality of spoken or written languages, a

word without 'linguistic context' is a mere figment and stands for

nothing by itself, so in the reality of a spoken living tongue, the

utterance has no meaning except in the 'context of situation'"

(1923:307).

In addition to the many kinds of data Malinowski considered useful,

healsoadvocated that a researcher keep two kinds of personal records

which should constitute parts of his field records (Kaberry 1957:78-9):

1) An ethnographic diary of daily activities and observations not-

ing what is the normal and the typical and what is not, the

kind of information that is not elicitable by questions and an-

swers of a community's residents. Malinowski called such infor-

mation the "imponderabilia of actual life." The present re-

searcher kept such a diary while in the field, a diary which

also recorded the accounts of his successes and failures and

mistakes in the field.

2) A "corpus inscriptionum," which "entailed the recording in the

native language of narratives, opinions, typical utterances,

myths, folk-lore, magical formulae, and native explanations and

interpretations of customs and beliefs" (Kaberry, p. 79).

Since this researcher collected only one type of discourse (ex-

pository, as defined in chapter two), his forty five hours of

taped explanations and descriptions constitute his "corpus in-

scriptionum."









Before returning to the explanation of how an ethnographic sum-

mary of the White Pine community was prepared, let us look more

closely at Malinowski's view of context and explore an instance from

White Pine where we must know the "context of situation" to fully un-

derstand certain linguistic behavior.

As a result of his fieldwork experience, Malinowski formulated the

two concepts "context of culture" and "context of situation," the lat-

ter mentioned above. Both have to do with how meaning is created by

language. A helpful redefinition of these concepts for linguistics has

been provided by J. R. Firth (1957b), one of Malinowski's students, to

express more satisfactorily how language means. According to Firth,


The context of culture is the environment for the total set of
[the options in behavior that are available to the individual
in his existence as social man], while the context of situation
is the environment of any selection that is made from within
them. (Halliday 1974:49)

For Firth, then, the two types of context formulated by Malinowski pre-

sent the distinction between what is potential and what is actual.

Again according to Halliday, "the context of culture defines the poten-

tial, the range of possibilities that are open. The actual choice among

these possibilities takes place within a given context of situation"

(1974:49) Firth's version consequently emphasizes the value of context

of situation for linguistics while at the same time implying that con-

text of culture has little value for the linguist.

The great usefulness of the concept of context of situation, in
Firth's definition, for linguists lies in its stress on the typical









rather than the accidental as an appropriate object of study. Firth's

view also makes the important implication that there is no necessary

one-to-one relationship between an utterance and its meaning. This

implication is most valuable when we examine typical behavior.

The typical behavior (an utterance, in this case) from the White

Pine corpus to be explored briefly here is the expression "I don't

know." At times in the interviews this expression became almost annoy-

ingly frequent. Consider an excerpt from an interview with a thirty-

nine-year-old housewife:

Fieldworker: Why should people be proud of White Pine? What
would you say?
Informant: Well, as a community, I think it's uh, it's a good
community to live in, to raise your children in. Well, I
don't know. The churches, the schools, everything. I think
it's just a, I don't know. I like it. I think it's, that's
why I think it's a good community is because I like it,
(uh-huh, uh-huh) and I don't know.

Of course, it may be that the informant does not know how to artic-

ulate her feelings here, or perhaps she in fact does not know why she

should be proud of White Pine, even though she had just stated, before

the fieldworker's questions, that the residents of the community should

be proud of White Pine. But this can hardly account for there being so

many occurrences in this excerpt of so deceptively short an expression

(three times in about twenty seconds). There are at least three differ-

ent "I don't know's" to be found in the corpus, two of which are exem-

plified here. Although this cannot be as clearly seen from the written

transcript, the researcher clearly identified at least three distinct

meanings for this expression:









1) A hesitation "I don't know" which frequently occurs, as in

our excerpt, with "well." This expression buys a little time

while the speaker decides exactly how to phrase an answer.

2) An ignorance "I don't know," exemplified by the other two in-

stances, which indicates the speaker's recognition of his/her

inability to answer or express him/herself.

3) A reluctance "I don't know" which is most often used as an ini-

tial reply to a question in order to show an informant's imme-

diate reluctance to reveal his/her thoughts on a subject. This

differs from the first "I don't know" above. This "I don't

know" is not a refusal, however; informants almost invariably

went on to give a direct answer after showing initial reluc-

tance.


The preparation of the ethnography of White Pine presented above

included the major sources on the Southern Appalachian culture and re-

gion (Kephart 1922, Campbell 1921, Weller 1965, Ford 1962, Vance 1935,

Hicks 1976, and others). It also included major sources on the East

Tennessee area (Folmsbee et al. 1969, Dykeman 1977, and others). Spe-

cial attention was given to the few sources on Jefferson County, Ten-

nessee, available in local East Tennessee libraries. From the East

Tennessee Development District office in Knoxville were obtained sum-

maries of the 1970 census reports and other vital statistics on the

White Pine community. In addition, much useful information was gath-

ered from the informants regarding local affairs.

The second step, taken after the preparation of as much of an eth-
nography as was possible from written sources, was the researcher's












making arrangements with the contact persons in White Pine to spend

an indefinite period of time with them and his explaining what kind

of investigation he would undertake and who he would like to interview.1

A contact person is an invaluable bridge between a fieldworker and a

community. In it a fieldworker is initially a total stranger. He can-

not reside long enough to become a familiar member of the community

(in White Pine or another typical small town in East Tennessee, this

would probably take several years in any case). This researcher's con-

tact persons introduced him to many of his informants and gave him many

insights into the life of the local community.

In White Pine itself, four problems had to be resolved before

actual fieldwork (i.e. interviewing) could begin. First, the field-

worker had to be thoroughly familiar with the layout of the town and

the most important basic facts of daily life in the community. In this

he was primarily assisted by his contact persons. This included learn-

ing the principal activities of the townspeople and the principal social

institutions in the community. He also had to determine the principal

concerns of life for the community. He was able to do this in the

course of the interviews.

Second, he had to establish the ethnographic parameters of his

work. This included his role in the community during his stay and in

the interview situation. Third, he had to choose a location for the

interviews, specifically, where they could be conducted comfortably.





45
Fourth, he had to determine the type of discourse to elicit and how

to devise a standard interview format which would best elicit it.

The ethnographic parameters were adopted according to Malinowski's

suggestions. He states that a fieldworker should make every attempt to

be an active participant rather than a passive observer-partial partic-

ipant: in the culture he is studying. He draws on his own experience

among the Trobrianders in showing why this is necessary:


There is all the difference between a sporadic plunging into the
company of natives, and being really in contact with them. What
does this latter mean? On the Ethnographer's side, it means
that his life in the village, which at first is a strange, some-
times intensely interesting adventure, soon adopts quite a nat-
ural course very much in harmony with his surroundings. Soon
after I had established myself in Omarakana, I began to take
part, in a way, in the village life, to look forward to the im-
portant or restive events, to take personal interest in the
gossip and the developments of the small village occurrences; to
wake up every morning to a day, presenting itself to me more or
less as it does to the native....As I went on my morning walk
through the village, I could see intimate details of family
life;...I could see the arrangements for the day's work, people
starting on their errands, or groups of men and women busy at
some manufacturing tasks. Quarrels, jokes, family scenes,
events usually trivial, sometimes dramatic, but always signifi-
cant, formed the atmosphere of my daily life, as well as of
theirs. (1922:7)

This researcher, of course, is neither a native nor a resident of

the White Pine area. He was a stranger to his informants initially.

At the same time, he is a native of East Tennessee and especially that

he is a relative of long-time White Pine residents enabled him to estab-

lish immediate rapport with his informants. It was also recognized

that the interview situation would necessarily be an artificial one.

Goldstein defines an "artificial situation" as one in which an informant

provides information "at the instigation of the collector" (1964:82).









The artificial interview situation, however, is, he adds, "the

only natural context for eliciting information from an informant"

(pp. 104-5). In other words, some type of directive elicitation is nec-
essary, however willing the informants are to participate, since they

do not always spontaneously volunteer discourse, especially exposi-

tions. Given these realities, the researcher decided to adopt the

role of a college student collecting general information for a.research

paper from a cross-section of the people in the town, stating that he

was interested in White Pine because he viewed it as a typical East

Tennessee small town. This is similar to the role of historian Gold-

stein advises for folklorists. In this role the researcher states that

he is not interested in official opinions or just in the opinions of

the oldest and/or most respected members of the community, but that

he is seeking instead the ideas and views of a cross-section of the com-

munity's average citizens. He emphasizes that he wants responses from

both native and non-native residents, from old and young, from members

of the whole community, whatever their social standing.

The researcher decided to have the interviews in the informant's

home rather than in the contact persons' home. He also discarded the

idea of interviewing in the informant's place of business or at some

other neutral, public site. Most informants readily invited the re-

searcher into their own homes, and for this reason and others it ap-

peared that informants would be most comfortable there. Moreover, a

fieldworker actually has more control over the interview in the infor-

mant's home. There he has greater discretion over the pacing of the









interview and over signaling the end of the interview and his impending

departure. It is easier to tell an informant that the interview is

over, to pack up the equipment, and to say good-bye than it is to tell

an informant that he/she can go home now. It is also less of an impo-

sition if the fieldworker takes care of his own transportation instead

of asking the informant to arrange his/her own transportation. Fi-

nally, informants appeared more likely to venture information in the

securest andmost familiar environment for them, their own homes.

The fourth thing that the researcher/fieldworker had to determine

before beginning full-scale interviewing was the type(s) of discourse

he would elicit and the interview format to elicit it (them). His ap-

proach was based on the typology of discourse genres (narrative, expo-

sitory, procedural, and hortatory) in Longacre (1976). Given the time

limitations and the ease of devising questions, the researcher decided

to concentrate on expository discourse. A standard set of questions

was asked of all informants, regardless of age, socioeconomic back-

ground, or level of educational attainment. No difficulties were ex-

perienced in elicitation according to this plan.

These limitations also had several advantages. First, using stan-

dard questions gives the study strict controls. Then, expository dis-

course seems to be the most plausible to elicit, given the ethnographic

parameters of this study. Most of the standard questions had to do

with everyday life in the town. Others dealt with situations that were

of widespread and frequent comment about town (such as the reputation

of Jefferson County's neighbor, Cocke County, for violence and










lawlessness). These are safe topics, unlikely to give offense, yet of

universal interest.

Before the interview itself and the sample are discussed, a few

more comments need to be made about how the fieldworker established

rapport with his informants. As Goldstein points out, the fieldworker

should take every opportunity to participate in the daily lives of the

people and the community he is studying. This researcher visited local

churches and various gathering places and meetings, chatting with peo-

ple frequently on the streets and at lunch counters. He continually

emphasized that he was interested in interviewing a cross-section of

townspeople.

The interview itself is a directive one, but it is loose and flex-

ible. It was directive insofar as it required specific vital informa-

tion from informants (age, length of residence in White Pine and else-

where, level of education attained, occupation held, and family back-

ground). The fixed questions asked of all forty informants require

expository responses:

1) How does White Pine react to newcomers in town?

2) What have been the most important changes you have seen in

White Pine while you have lived here?

3) What's a typical day like for you?

4) What do you think most people in White Pine want the town to

become?

5) What all goes on on Pine Day?

6) What do you do on Pine Day?









7) Why does Cocke County have a bad reputation?

8) How do local people feel about outsiders making fun of East

Tennesseans and the way they talk?

In this way, some uniformity in interviews was established.

However, the interviews were not rigid. For example, no infor-

mant was asked only these eight questions. Each informant was asked

additional questions depending on age or background. For instance, in-

formants over fifty who were native of the area were asked how local

people felt when TVA came into the county in the 1930's and bought up

prize farmland to be covered by reservoirs. Similarly, high school age

informants were asked how the new county-wide comprehensive high school

compared to the old high school in White Pine. Other questions were

asked, depending on the flow of the conversation.

One non-directive principle was adhered to throughout theinterview-

ing, however. This concerns the lack of a time limit. Once the field-

worker had asked a question on some subject, the informant was allowed

to give as long a response as desired. The fieldworker took pains nei-

ther to interrupt nor to influence the informant's pattern of thought.

Only when the informant signaled an end to a response or when an infor-

mant's response was clearly running out of steam did he intrude with a

comment or another question.

The interviews averaged slightly more than an hour in length. But

the fieldworker spent at least twice that amount of time with the aver-

age informant, exchanging small talk and establishing a rapport with in-

formants before the actual taping began. The time taken by the field-









worker to introduce himself and to tell about his family was indispen-

sable in establishing the uninhibited rapport that he desired. The in-

terviewer's family was of more concern to the informants than his mo-

tives for interviewing.

In his view, the fieldworker was able to establish quite good rap-

port with each of his informants and excellent rapport with nearly all

of them. This resulted in not only a good corpus but also a number of

good friendships with individuals in White Pine.



The Sample

According to the 1970 United States Census, the population of the

town of White Pine was 1,532. It had grown to an estimated 1,830 by

1977. But the community of White Pine as defined by its residents in-

cludes both the area outside the city limits and the adjacent neighbor-

hood of Leadvale, bringing the total population of the area in which the

interviews were conducted to approximately 3,000 persons in 1978. Of

this base population of 3,000 a sample of forty residents was inter-

viewed. This constitutes 1.3 percent of the whole. The interviews

average roughly one hour each, the shortest being thirty-five minutes

and the longest more than two hours.

The sample of forty informants is both a broad and a representative

cross-section of the White Pine community. The informants represented

all post-adolescent age groups and a wide variety of socioeconomic and

educational backgrounds. In age they range from sixteen to eighty-seven

as distributed among the following cells:










16-19 20-39 40-64 65 and over Total

Male 3 6 5 4 18

Female 3 5 8 6 22


As the sample was taken, care was exercised not to have too many in-

formants from a given age group or from either sex. The fieldworker's

overriding concern, as he spent his time in the White Pine community

and had contact with all sectors of the population, was to interview as

wide a variety of its residents as possible. It was not his primary

goal to investigate social or subgroup differences in discourse organi-

zation among his informants.

The breakdown of the forty informants according to their levels of

education is as follows:2


8th Grade Some High High School Some College College
or Less School Graduate Work Graduate

Female 1 7 5 5 4

Male 3 5 1 6 3

According to the 1970 census, only 6.3 percent of White Pine's popu-

lation depended on agriculture for its livelihood, while 74.1 percent

depended on manufacturing, trade, service, and finance industries.

Approximately 19 percent of the population was employed in construc-

tion and all other areas. Following is a breakdown of the White Pine

sample according to their employment by type of industry. Three who

were unemployed are ignored.









Agriculture Construc- Manufac- Trade, Service, Other
tion turning and Finance

# % #% % # % # %

1970 Census 89 6.3 129 9.1 720 51.0 327 23.1 142 10.0

Present
Study Infor- 3 8.1 3 8.1 6 16.2 21 56.8 4 10.8
mants


If females were not members of the labor force, they were categorized

according to the employment of the breadwinner of their families. The

present study's higher percentage of informants supported by trade, ser-

vice, and finance than the percentage of those depending on manufactur-

ing contrasts with the percentages for the overall White Pine area.

This is due to their availability. There were more people in trade,

service, and finance positions who were available for interviews than

in manufacturing.

Although no census figures are available on the lengths of resi-

dence of White Pine inhabitants, it is clear that the great majority

of them are lifelong natives of White Pine or the nearby area. Of the

forty informants, twenty-two were natives of White Pine and another

thirteen were natives of nearby counties in East Tennessee, nine of whom

had spent more than half their lives in White Pine. Four were natives

of elsewhere in Tennessee or of another state, and one was a native of

Great Britain. Informants were chosen on the bases of their ages and

educational backgrounds and not their nativities. Even so, the cohe-

sive devices analyzed in chapter three through five were examined for

differences in function between natives of White Pine and non-natives.

None but incidental differences in frequency were found.










In the White Pine community, only 1.7 percent of the population

was non-White in 1970; none of the forty informants for this study,

it happens, were non-White.


Transcription Procedures

The approximately forty-five hours of field tape recordings are

the primary documents for this study and are viewed as the ultimate

authority and repository for the data upon which this study is based.

All forty-five hours of interviews were transcribed by the fieldworker/

researcher himself. The transcription was done in slightly modified

orthography in order to result in as close to exact a form as possible

of what the informants said. As Labov (1969, 1972) has shown, careful

transcription is as important in considering grammatical features

as it is for phonological ones.

It must be realized, however, that any transcription can never

be more than an imperfect representation, and an interpretation as well,

of what is on tape. This is certainly true when a transcriber attempts

phonetic or a modified phonetic transcription, and it was true in the

present case when the transcriber had to determine the presence of cer-

tain deletions and especially when he tried to be consistent in punc-

tuating a transcript or in ascertaining sentence boundaries. A tran-

scriber quickly recognizes that deictics and especially conjunctions

mark the beginnings of sentences. But an informant's pausing and pacing






54
are also crucial to sentence, clause, and phrase boundaries. This

is why the tape recording itself remains the ultimate authority.

The transcription employed here makes no attempt at eye dialect.

Orthography was modified only to indicate several minor instances of

deletion such as

1) The voiced interdental in "them" and "that," if deleted, is re-

placed by an apostrophe (as in "with 'em" or "like 'at");

2) Clause initial "that's" and "it's," often reduced phonetically

to [s] or [s:], and therefore indistinguishable, are represented

frequently as "s";

3) Initial syllable deletion, as for "of course," represented as

"course," and "because," represented as "cause."


In no instances were such conventions used to indicate the deletion of

morphemes. Dealing with deletions in general was frequently difficult.

Basically any apparent morpheme that had a clear trace was represented

in full orthography, In fact, clear hesitation phenomena such as "uh"

and "hmm," the affirming "uh-huh" and the negation "huh-uh" and the like

were represented whenever audible. But the many standard English words

without such a trace (such as copulas, relative pronouns, and others)

were not represented.

Hesitation phenomena (as well as the parenthetical "you know," "I

mean," and other phrases adding nothing to the content of the interview)

are represented in this study's interview transcripts for the sake of

making the transcript as accurate as possible. It is also possible

that such phenomena might have some discourse significance, as markers

of sentences or of paragraphs (i.e. changes or returns to themes). In

any case, possibly significant data should not be discarded a prior.









The use of brackets and parentheses in the interview transcripts

follows the suggestions of Ives (1976). Parentheses serve to enclose

short interviewer remarks (rarely more than the occasional "uh-huh"

or "hmm" which insures an informant that the interviewer is intently

following the informant's account) which did not cut short or deflect

an informant's train of thought. Occasionally parentheses were also

employed to suggest an alternate transcription, when the speech on

the tape was not quite intelligible. Brackets enclose either inter-

viewer comments on the informant's behavior or short summaries of the

interviewer's speech. In the interview excerpt presented below, the

two different uses of parentheses are exemplified.

Fieldworker: In general, what have been the most significant
changes that you've seen in the community of White Pine it-
self during your lifetime?
Informant (74 year-old male): Oh, I guess this, what I remember
as farmland is, has been being and is being covered up with
houses and housing developments and such as that, (uh-huh)
and around the town. Most of those, I remember when, when
that was farmland, the ones out this side of town and well,
that's all around town. And that uh, and that and inflation.
(hmm) Course, we've gone from, as far as uh, as transporta-
tion, we've gone from horses and buggies and mules for to
farm with, and buggies to ride in and, and trains hauled the
produce, to now it's gone to trucks. The trains are, people
ride in cars and, and uh, and produce being hauled in trucks,
right off the farm from there on, from the time it's produced
til (to?) the, the time it's gets to the grocery store. Rail-
road used to use a good many people. That was pretty big bus-
iness. Of course, it hauled lots of people in those days.
That was quite a, quite an event when a train came to
town. .

As mentioned, all the interviews were entirely transcribed by the in-

terviewer himself. Inevitably there are sentences, phrases, and even









words (especially names) that only the interviewer can comprehend by

virtue of his having remembering the context of the interview.


Fieldwork Journal and Interview Catalog

In addition to the primary document, the tapes, and the secondary

document, the transcripts, two other document were assembled in this

project. A fieldwork journal of daily activities and observations was

maintained by the fieldworker. After a day's fieldwork was completed,

a record of the day was entered into the journal. As mentioned earlier

in this chapter, this emulated the ethnographic diary that Malinowski

kept while among the Trobriand Islanders. Not only does such a journal,

maintained daily, allow a fieldworker to profit from his own experi-

ences, his mistakes and his frustrations, but it also enables him to

make note of particularly successful and effective approaches and ques-

tions for his later use.

The other document assembled was the interview catalog, compiled

for the researcher's ease of reference. It contains four kinds of in-

formation:

1) The vital statistics on each informant (age, sex, level of edu-

cational attainment, etc.);

2) The physical details of the interview: when and where it was

conducted;

3) A summary of how the interview itself went, how good the rap-

port between fieldworker and informant was, and how helpful

the informant was;

4) A note on how the informant was contacted.









Explanation to Informants

The members of the White Pine community, when approached by the

fieldworker/researcher as potential informants, were almost invariably

most willing and even flattered to be asked to participate in an inter-

view. While a few of them were initially concerned that they were

being "singled out" to be interviewed for some special reason (the

fieldworker had to assure them that he wanted to interview typical cit-

izens), the fieldworker was actually turned down for an interview only

once (over the telephone, where, he is convinced, he was mistaken for a

salesman). Most informants were more interested in knowing why they

(and White Pine) were chosen than what the fieldworker actually wanted

to interview them for, and that the series of interviews was a part of

his schoolwork was sufficient explanation for most informants to be

quite willing to be interviewed. The usual explanation provided pro-

spective informants was as follows:


For a school assignment I would like to interview a cross-section
of people in White Pine and ask some general questions about
what life is like here. What I want to do is compare the an-
swers I get from a variety of people, both old and young, male
and female. I wondered if you would be willing, if you have
some time, to help me by answering a few questions.

The fieldworker willingly gave whatever additional information was de-

sired-that the interviews were part of his dissertation, that he was

working on his doctorate, or that his project was a linguistic one-

but this was rarely called for.

It should, of course, be pointed out again that the initial rap-
port that the fieldworker was able to establish with informants would









almost certainly not have been so successful without the assistance

of the contact persons in White Pine,

Informants for this study were assured that their names would

not be revealed and that they would remain anonymous to all but the

fieldworker.


Taping of the Interviews

The interviews for this study were recorded on a four-track, reel-

to-reel Voice of Music model 733 Tape o Matic tape recorder at 3 3/4

inches per second. The tapes used were Scotch No. 207, 1800 foot

tapes, which, at 3 3/4 inches per second, allowed up to ninety minutes

of recording per track. In all eleven reels of tape were required.

Because of logistical difficulties, two interviews had to be re-

corded on cassette tapes. These interviews are coded as tapes XII and

XIII in Appendix A.


The Value of Fieldwork

Since the ultimate value of doing linguistic fieldwork is to help

us better understand how people employ language, the fieldworker must

always remember that the interview is a very human event involving di-

rect contact between two or more people. As Goldstein declares, "the

problem of fieldwork is essentially human" (1964:22), and more than any-

thing else fieldwork is a venture in human relations. The fieldworker

cannot be detached from his informants, especially when subjects as

deep-felt as some of those covered in the present study's interviews









are involved. Fieldwork is extremely hard and tiring work, but its

rewards in terms of friendships gained justify the effort put in by

the fieldworker.

From this researcher's perspective, at least three skills are re-

quired of the linguistic fieldworker in such a study as this one:

1) The ability and willingness of a fieldworker to relate to his

informants as humans who are willing to share their personal, and some-

times intimate, experiences with him. The fieldworker must value his

informants as people and not as sources of data, which means that it

is probably impossible to do good fieldwork without genuinely enjoying

human contact.

2) A resourcefulness to adapt to new situations and people in ways

that the fieldworker could not have foreseen before going into the

field. The fieldworker must take care and even pains to approach peo-

ple as individuals without preconceptions and prejudices. He should ap-

proach his community as a microcosm having a great variety of unique in-

dividuals.

3) A disposition to persevere against frustrations and inconveni-

ences and ever-present delays. In short, he must be so committed to

doing his fieldwork that he develops a kind of salespitch for it.3 He

must be willing to solicit assistance from often-hesitant and sometimes-

skeptical people while at the same time endeavoring to establish a fa-

vorable rapport with them.

Though the most demanding work he had ever done, this writer found

it immensely rewarding. It gave him many fond memories and several

good friendships which have developed from his interviews.








Notes


1. The choices of the community to work in and of the contact persons
were entirely practical ones. This writer's brother-in-law is a
native of White Pine and his brother-in-law's parents are longtime
residents there. It is they who were chosen to be the primary con-
tact persons since they knew nearly everyone in White Pine and could
assist the fieldworker in making the necessary initial contacts.
More important than facilitating contacts, however, was that his
family relationship with the contact persons enabled people in White
Pine to identify him with people they knew well.
2. The category "Some College Work" includes all informants who had any
kind or length of post high school education, such as business or
other vocational school. According to the 1970 census, only 6.8 per-
cent of the residents of the White Pine division of Jefferson County
(figures are not available for the town of White Pine itself) over the
age of 25 had attended some college. However, three factors account
for a high percentage (45 percent) of this study's sample having col-
lege work: 1) the census area (with 2,085 people over 25) includes
rural area whose residents have a lower average educational level
than do the town's residents; 2) in 1970 a junior college opened five
miles from White Pine; it has attracted many part-time students, and
informants having attended as few as one or two courses are classi-
fied as having some college work; and 3) nearly all this study's in-
formants who enrolled in college for a short time dropped out (for
many in this generation, "trying a quarter of college" was the ex-
pected bridge from high school to the workaday world).

3. This same view, that the fieldworker must be willing to be a sales-
man, was expressed to the researcher by Vance Randolph, the dean of
American folklore collectors, in a personal conversation with the
writer on December 11, 1978, in Fayetteville, Arkansas.












CHAPTER II

BACKGROUND AND METHODOLOGY


Preface

The first chapter of this dissertation presents the non-linguistic

context of this study; this chapter discusses its linguistic context.

In the first part of the chapter several approaches to the analysis of

discourse structure are reviewed to put the analysis of oral expository

monologues into perspective. Then the methodology of this dissertation

is explained. The second section examines the importance of studying

monologue expositions. Then some remarks are made regarding the nature

of oral paragraphs, followed by a review of relevant studies of oral

and written paragraph structure. Finally Longacre's typology of dis-

course genres is discussed.

The control of the five different contexts mentioned in chapter

one (speaker type, frequency of occurrence, social situation, task, and

linguistic position) makes this study a novel one. Also, as far as

this writer can determine, this study is the only analysis of the dis-

course structure of oral expositions for any variety of American Eng-

lish. Although much has been written about discourse structure in Eng-

lish, oral expositions have been seriously studied only for other lan-

guages (see especially Longacre 1968). This dissertation represents

the first time that the task of eliciting, analyzing, and then gener-

alizing about a large corpus of expositions has been undertaken for

English. It therefore is an exploratory project.
61













Discourse Studies and the Approach of This Study

The decision to study the discourse level of oral expositions orig-
inally derived from this writer's growing conviction that the construc-

tion known as left dislocation, an often-used construction in speech,

could only be understood if its function were viewed as supersentential,

on the discourse level (Montgomery 1977a, 1978). If such a frequent but

little studied construction seemed to tell us something about how speak-

ers organize their linguistic behavior, it seemed likely that other fea-

tures and constructions of oral discourse should also be studied in

their discourse contexts. There is much to recommend the view that

oral expositions are preliminary to written ones. At least, understand-

ing how speakers negotiate and structure ongoing expositions might im-

prove our awareness of the communication system that people bring to the

writing process. Since linguists have for two generations made the case

that speech is primary and writing derivative, it seems crucial that a

study should begin with the structure of oral expositions rather than

written ones.

It is no longer necessary to justify the value of doing discourse

analysis, which may be broadly defined as the study of any segment of

verbal behavior larger than the sentence. Grimes (1975), the watershed

work in the field, has shown that discourse analysis is indeed possible

and that it rightly lies within the domain of linguistics (rather than

rhetoric or another field exclusively). Grimes' work is such a vast









cornucopia of observations on discourse that it should no longer be

asked "Is it worthwhile to do discourse analysis?" Rather we should

ask "What kind of discourse analysis will address significant ques-

tions about how people organize their linguistic behavior?" Since

Grimes provides neither a methodology nor a point of departure for a

principled approach to the analysis of expository discourse (but nei-

ther is his aim), we must look elsewhere for an approach to oral expo-

sitions.

According to Widdowson, discourse analysts have generally taken

one of two basic points of departure. Either they have started with

the text or discourse as a whole or they have begun with sentences or

subsentences in an effort to identify their discourse functionss:

One general approach to discourse analysis, then, begins with
instances of discourse, with actual data, and moves towards lin-
guistic units to the extent that this appears to be necessary
for the purpose of the description. The second approach moves
outwards, as it were, from the sentence, and deals with lin-
guistic expressions as realized in discourse but with the ab-
stract potential of linguistic forms. (1977:241)

The emphasis in the first approach is on the hierarchical nature of

discourse, in the second on the linear nature of discourse. There are

good reasons for choosing either point of departure and in many in-

stances discourse analysts have taken one or the other and elected not

to move toward the other. Propp (1958) and a number of other writers

on folkloristics do not move toward linguistic units at all. Several of

the modern-day text grammarians (Petbfi and Rieser 1976, Van Dijk 1972)

also rely on abstractions from a text for analysis and are primarily









concerned with the abstract and rhetorical structure of discourses.

Text grammarians for the most part view discourse or text as a unit of

competence and not of performance.

Other analysts approaching discourse (e.g. Williams 1964, Halliday

and Hasan 1976) choose to study exclusively the various cohesive re-

sources of English to fit one sentence after another into a context,

to produce acceptable sentence sequences. Williams examines deletion

and a wide variety of elements such as deictics and sentence adverbs.

Halliday and Hasan are concerned with such semantic resources of Eng-

lish as substitution, ellipsis, reference, and conjunction. This lin-

ear approach to discourse is devoted to explicating intersentential

linkage.

Several discourse studies attempt to bridge the gap between these

two points of departure and to balance the hierarchical and linear ap-

proaches to the study of discourse organization. They have varying re-

levance to the present study, however, since none of them (except, in

part, Longacre 1968) are based on a corpus of spontaneous oral exposi-

tions. Several studies, e.g. Grimes and Glock (1970), Klammer (1971),

Klammer and Compton (1970), and Van Dijk (1977), deal with only the

narrative structure of one or a small sample of texts. The basic point

of many narrative studies is that a discourse view of a text can indeed

make some interesting observations more so than it is to generalize

about a body of texts. In studies of narrative structure we encounter

again and again statements similar to that of Van Dijk: "The remarks

made about a well-known type of discourse, the story, could be extended









for other discourse types" (1977:155). Very few linguists have at-

tempted to do this, however. Longacre, in his Philippine study (1968),

has been the only one to do this. He posits formulae for the gramma-

tical structure of each type of discourse and paragraph. This comment

also applies to his extension of the concept of plot to types of dis-

course other than narratives.

Nearly all discourse analyses have investigated only written or

very highly formularized (i.e. the sermon or the folktale) oral texts.

The discourse features which they consider are not necessarily, even for

expositions, the same as those in spontaneous oral discourses, which we

will be concerned with here. As an example, we can compare Jones (1977)

with the present work. In her study of written expositions, Jones con-

tends that thematizing devices (repetition, marked word order, rhetori-

cal questions, clefting and pseudoclefting, among others) can fruitfully

be studied in written texts. But all the devices she finds are ex-

tremely rare in our White Pine corpus of oral expositions. The sole ex-

ception to this statement is conjunctions, which are of secondary impor-

tance in communicating themes. Moreover, the two most frequently used

thematic constructions from our corpus (left dislocations and existen-

tials) she does not mention. Thematic and other devices should be stud-

ied, but we should not assume that they are identical for written and

oral texts.

Other analysts have suggested other types of devices as crucial to

study in a discourse context: punctuating or transitional devices (Mer-

ritt 1972), various kinds of anaphora (Gutwinski 1976), equivalence









chains (Harris 1963), and those of Halliday and Hasan and of Williams

mentioned above. As valid as it may be to study each of these types,

the necessary heuristic framework for the comprehensive study of co-

hesive devices in discourse is provided only in Longacre and Levin-

sohn (1978). Our approach to the paragraph structure of oral exposi-

tions is largely based on the ideas in this article.

As suggested in their title, "Field Analysis of Discourse," Long-

acre and Levinsohn offer a framework for discourse analysis for lin-

guists working in the field with little-studied languages (such as

those which Summer Institute of Linguistics workers frequently encoun-

ter). What the present writer has chosen to do is to adopt it for

fieldwork with a much-studied language-English. Longacre and Levin-

sohn are determined to bridge the gap between the abstract structure

and the specific cohesive devices of a discourse but insist that the

analyst can do this only by first identifying and describing the "sur-

face structure cohesive devices" and discourse constituents: "The job

of the analyst is to...look through the flesh and the skin to the

skeletal structure beneath and to perceive the fundamental structure

of the whole" (1978:105). The aims of the analyst are to show how

these cohesive devices operate and then to display an outline of the

discourse in a schematic fashion.

Longacre and Levinsohn present eight surface structure cohesive

devices which permit a discourse to be outlined:

1) The role of tense and voice;

2) Particles and affixes;









3) Participant anaphora;

4) Deictics;

5) Lexical ties and paraphrase;

6) Summary and preview;

7) Conjunctions and introducers;

8) Backreference.

Given the time limitations of this study, four of these devices (the

role of tense and voice, particles and affixes, lexical ties and para-

phrase, and backreference) are not considered in this dissertation.

The remaining four (participant anaphora, deictics, summary and pre-

view, and conjunctions and introducers) are the concerns of chapters

three through five herein.

The second hypothesis of this study is that the grammatical struc-

ture of oral expository paragraphs is organized to a significant degree

by certain cohesive devices-the other four discussed by Longacre and

Levinsohn. It investigates this hypothesis by examining the functions)

and distribution of these devices.

The device called "participant anaphora" has to do with the identi-

fication of participants in a discourse: "Participants can be identified

by name, by a common noun, by pronoun, by an affix, or just by zero.

Such variations in anaphora are never unmotivated. Most commonly, the

domain of the participant anaphora chain is the paragraph" (Longacre and

Levinsohn 1978:108). We will here be concerned with only one link in

this chain-the first-(many linguists have studied anaphora: Gutwin-

ski (1976), Brinegar (1977), Hinds (1977) and others) and will call this









first link the "theme." The theme is the piece of information (not

necessarily a human participant) which usually initiates an anaphora

chain and which a block (or paragraph, as we will see) of information

is about. The primary surface structure devices which introduce theme

or "thematize" a piece of information are of two sorts in our corpus:

left dislocations and existentials. In the following exposition we un-

derline two left dislocations and two existentials, all four of which

initiate anaphora chains, to illustrate our approach.1

Fieldworker: What have been the major changes you've seen in
White Pine during your lifetime? Let's say, the most signifi-
cant changes?
Informant: Well, they restructured the bank. I wished they'd uh
left it the old way, but I guess they did that for, you know,
security measures and stuff, and then uh the mall, the mall I
was talking about, the shopping center. You know, they've
paved it all the way through, so that's, that was the major
thing right there that, that they've done. And of course,
the housing project, they put that down there, and I wish they
hadn't have. I like White Pine the way it was, you know.
Well, simpleton little town, you know, but it seems to be ex-
panding quite, quite a bit. (hmm) And there's a lot of
trailer courts going in. There's one right in the center of
town. I don't know how they ever got that admitted. Course,
they have restrictions now, but it was in there before the re-
strictions came, so (uh-huh) and, when I grew up, there, we
had one policeman, and that was Chief of Police Dick Reed, and
he had a deputy, and that was it, and they would drive around,
you know, most of the day, or if you needed him or anything to
around twelve o'clock, and then they'd go home, you know, so
the town was just, just nobody out, you know, or few people
out, but there was no crime, you know, nobody breaking into
anything. (uh-huh) That was just the way it was,... (V2-11)

In this exposition thematic devices introduce four themes (the mall,

the housing project, a lot of trailer courts, and no crime, although

the fourth one is not developed like the others) and at least four

paragraphs in this exposition. Theme is the one obligatory element









of a paragraph's grammatical structure and to a significant extent in

our White Pine expositions a paragraph's theme is marked by one of the

two constructions mentioned. In Longacre's most recent view of the

grammar of the paragraph, he indicates that "we find the paragraph

built around a theme that is not different in kind from a thematic par-

ticipant" (Forthcoming:118). Our chapter three confirms this for expo-

sitions.

Two other types of devices, deictics and summary, are considered

together in chapter four because deictics are frequently employed to

make summaries in our expositions. In general, deictics (especially

the word "that") help keep track of thematic information in a paragraph.

We will examine four uses of deictics in chapter four: 1) as the prono-

minal reference in left dislocation; 2) in extrapositions; 3) in iden-

tifying sentences; and 4) in what we will term "peak" sentences. An

example of a peak sentence is underlined below:


Fieldworker: What would you say have been the most significant
changes you've seen in the town in your few years here?
Informant: Most significant change I've seen is the, the intru-
sion or the coming in of, of new people. White Pine is no
longer the same town it was eight and a half years ago because
of its growth, uh because of people with different backgrounds
having moved into our town. (uh-huh) Uh therefore it has
changed the complex of our town tremendously. Uh I think this
is the greatest change that has happened in our town is to
have new people coming in with new blood, new thoughts, new
ideas, new approach to things. (X4-4)

We will see that such sentences represent another unit in the grammati-

cal structure of the paragraph-the peak-and we will confirm the view
of Longacre and Levinsohn that, in expository discourse, the peak is

'the culminating explanation" (1978:105).











The concern of chapter five is an eighth type of device-conjunc-

tions and introducers, insofar as they occur in a set of 200 of the

corpus' expositions. A rough taxonomy of the most frequent conjunc-

tions accompanying left dislocation is presented. Finally, some ob-

servations about subparagraphs, especially introduced by "like," are

made.

Longacre and Levinsohn thus elaborate eight types of surface

structure cohesive devices. Our object here is to show that, for one

corpus of English, four of them make complete sense only if viewed in

a discourse context. Although we examine the underlying regularities

of several of the specific devices (left dislocation and deictics which

participate in peak sentences, especially), our primary aim is to de-

termine their distribution and functions) across extended texts, which

also shows their periodic character. This periodic character reflects

the paragraph nature of spontaneous oral expositions. To a significant

degree, surface structure cohesive devices implement the grammatical

units of paragraphs, especially the theme and peak.

For convenience, parts of the analysis are performed on a subset of

the corpus' expositions, a random selection of 200 sample expositions,

five from each informant. In some cases, the analysis is based on a

smaller set of 80 expositions, two from each informant.

Based on the expositions of forty people, our findings have a

broad generality with respect to the community investigated, White

Pine, Tennessee. It might reasonably be asked why so little concern









and attention is given in this study to variation in cohesive devices

between subgroups of the informant sample, according to either the

age, the educational level, or the socioeconomic background of the in-

formants. Except for only a few scattered remarks (regarding the in-

troducer "like," for example) nothing is said about differences between

individual or groups of speakers. If White Pine had been presumed to

be a homogeneous speech community, the care to interview a large and rep-

resentative cross-section would not therefore have been taken. It was

found that the discourse devices under consideration in this study

showed inconsequential differences in function across the entire sample

of forty informants. None of the features were restricted to one subset

of the sample. The generalizations in this study resulted from their

obviously consistent functioning for all forty speakers.

This is not to say that no variation occurred in the frequency of

the realization of such devices as left dislocation. It was realized in

at least three instances for each speaker. But one speaker, a seventy-

year-old woman, had seventy instances. Hers was, however, by far the

longest interview-nearly three hours. Neither for the four informants

not native of Tennessee nor for the one native to Great Britain did left

dislocation function differently from White Pine natives. Peak sen-

tences, with fifty instances, were used by twenty three speakers of many

different educational levels and socioeconomic backgrounds and thus dis-

tribute broadly throughout the sample. Other devices may have varied in

frequency too. But none vary in function. More important, there is

little to suggest that any of the devices considered in this disserta-









tion are diagnostic of any of the speakers. A closer look might re-

veal some kind of variation, but that would be the object of another

study.


The Study of Monologue Expositions

Linguists interested in supersentential segments of speech have

only recently heeded Firth's injunction of nearly a half-century ago

that "neither linguists nor psychologists have begun the study of con-

versation; but it is here we shall find the key to a better understand-

ing of what language really is and how it works" (1957a:32). Only if it

is recognized that the function and manifestation of language is ba-

sically conversation can language best be understood. Recent studies

on turn-taking, as by Sacks, Schegloff, and Jefferson (1974), recognize

the importance of studying blocks of conversational dialogue and have

shown that they have cohesion, just as other discourse blocks do.

Klammer (1971) is a study of written dialogue paragraphs and is also an

important contribution in this respect.

The present study does not take into account turn-taking phenomena

between the fieldworker and the informants. But it is consistent with

the conversational frame of reference for studying language. It does

not artificially cut up conversation and thus de-contextualize the

monologue discourses it analyzes. It views expository monologues as

parts of conversational exchange, the context for which was controlled

(as indicated in chapter one) by the fieldworker. Pike and Lowe see

monologue as occurring when "one individual of the cast stays fixed









in the role of addressee" (1969:74). Klammer defines monologue more

loosely as "one uninterrupted speech within a dialogue context"

(1971:38).

The monologues we encounter in our corpus are usually isomorphic

with turns in conversation, but not always. In some instances it is

obvious that monologues continue across an exchange in turns. That is,

we cannot say that a speaker needs to reintroduce, at each turn in the

conversation, all the antecedents from an earlier turn.

Good reasons for studying the structure of monologues can be

found. Longacre views monologue as a "special lopsided development of

conversation" (Longacre 1976:165). But he stresses its "universal cul-

tural importance" (p. 197). His typology of discourse genres (Long-

acre 1968, 1976, Longacre and Levinsohn 1978), which he believes to

have universal applications, is actually a typology of monologues (nar-

rative, expository, procedural, and hortatory). What Longacre consi-

ders the deep structure or universal features of expository monologues

is discussed later in this chapter.

There is another good reason for studying the structure of mono-

logues. The expository monologue type of discourse on which this dis-

sertation is based has all the features of what Hymes (1971) calls a

"speech act": setting and scene, participants, ends, act sequence, key,

instrumentalities, norm, and genre. Viewing monologue as a unit, more-

over, allows us to examine thematizing devices, deictics, and other de-

vices in this dissertation. This is because these devices help orga-

nize monologue conversational turns into one or more self-contained









thematic units-paragraphs-which represent the natural thematic struc-

tural units in which speech is used.


Oral Paragraphs and a Review of Paragraph Studies

In analyzing the structure of discourses, linguists have often rec-

ognized distinct supersentential units smaller than the discourse it-

self. This is the case with Van Dijk (1977) for narrative, Klammer

(1971) for dialogue, and Longacre (1968) for dramatic, procedural, and

other types of discourse. Van Dijk uses the term "macro-structure" for

a sequence of sentences which belong together and which frequently has

"Morpho-Phonological markings" (1977:152-3). He mentions pauses, in-

tonation, and particles as examples of such markings. Klammer, Long-

acre, and others adopt the less original but more useful term "para-

graph," the traditional term referring to an orthographic unit of lan-

guage. Herein we will also use the term paragraph for these interme-

diate structural units in oral discourses that are unified in more ways

than simply forming a block of print on the page.

For Longacre, any string of two or more sentences which belong to-

gether constitute a paragraph: "Unstructured sequences, or strings of

sentences which do not constitute a paragraph structure, do not exist"

(1968:53). Most often the paragraph has been defined as any self-con-
tained thematic unit. Pike and Pike call it "the minimum unit in which

a theme is developed" (1977:488). We consider a paragraph to be any

thematic block of language, i.e. a unit of language organized around

a theme or piece of information.









Thematic unity is not something merely imputed to a paragraph in

speech. It is there and is reflected to one extent or another by var-

ious lexemic, grammatical, and phonological features. In a narrative

discourse, paragraph themes are usually characters; in exposition the

themes may be characters or many other kinds of information. Examples

will be presented in chapter three.

We can view these thematically unified units called paragraphs as

having three different modes of structure-phonological, lexemic, and

grammatical.2 Although of most interest to us is the grammatical mode,

all three modes to a great extent reinforce one another. It is doubt-

ful that the grammatical structure of a paragraph can be understood

without studying the other two.

Paragraphs have not often been understood as having characteristic

phonological features. But according to Klammer, "phonologically, in a

complete description of dialogue paragraphs, it would be necessary to

account for such phenomena as stress placement, juncture, and intona-

tion in relation to the paragraph level constraints affecting them"

(1971:33). Even earlier, Becker pointed out the existence of phonolo-

gical markers of paragraph structure:

Paragraph tagmemes seem to be marked by shifts in pitch regis-
ter, tempo, and volume when paragraphs are read aloud. While
these signals can be perceived by a trained phonetician, they
have not been adequately described in the laboratory, and
their written counter parts have not been identified. (1965:242)

Unfortunately research into such features and markers, as by

Bridgeman (1966) and Lehiste (1978, 1979), has been either too recent









or too sparse to have developed well-tested tools to examine them.

Bridgeman's pioneering work on Kaiwa claims that oral paragraphs in

that language have one of a set of six phonological onsets and one of

three phonological codas, with an optional peak preceding the coda of

a paragraph. Lehiste has attempted to find, with as yet little suc-

cess, the phonological correlates of paragraph boundaries by measuring

pausing, lengthening, and pharyngealization at the beginning and end of

sentences and paragraphs.

The isolation of the phonological features of paragraphs is the

subject for another dissertation. Only occasional observations regard-

ing phonological matters are advanced in this study, when these features

are concomitant with the surface structure cohesive devices that we

analyze. More than likely a characteristic paragraph-initial lengthen-

ing and/or pausing will eventually be shown to aid in giving paragraphs

coherence. One suspects, however, that no phonological signal will cat-

egorically mark some part of a paragraph's structure. What one should

expect to find is that a significant coincidence of phonological and

grammatical signals co-occur at thematic breaks in a discourse. In

other words, phonological paragraphs should be to a great extent iso-

morphic with grammatical and lexemic ones.

Paragraph structure can also be viewed as lexemic, involving how

the semantic resources of the language organize information into a the-

matic unit for a given kind of discourse. Although a principled means

of approaching the lexemic paragraph has yet to be satisfactorily de-

vised, quite a few lexemic functions which participate in paragraph









structure have been pointed out. Klammer (1971), largely adopting

his functions from Wise (1968), mentions addition of participant, elab-

oration,, comment, specification, contrast, reason, summation, conclu-

sion, setting, and result. But it has been difficult to show how these

functions are organized linearly, as Longacre has done for the grammat-

ical units of the paragraph. The set of such functions has seemed

open-ended and at the same time we have not yet found, according to

Pike and Pike, "a way to treat some of them in a linear fashion, in

order to be able to perceive them as something 'going on"' (1977:364).

This difficulty of formulating the lexemic structure of actual

paragraphs has in recent years caused lexemic structure to become

viewed as "deep" in contrast to the "surface" structure of paragraphs

being grammatical. The problem has become one of showing how lexemic

functions or units were realized by grammatical ones. Otherwise, lex-

emic paragraphs would be only hypothetical. The problem of the extent

of isomorphism was tackled by Wise (1968) for oral narratives in Noma-

tsiguenga and for written dialogues in two English texts (I Henry IV

and Great Expectations) by Klammer (1971). It is useful to quote at

length the remarks of Wise:


Lexemic structure, as the term is used here, is a variety of
deep structure. For example, "logical subject" and "logical
object," i.e., agent and goal, are constituents of lexemic con-
structions on the clause level. In levels beyond the sentence
the lexemic order of constituents is, in general, the chronolo-
gical order of events in the narrative. Paraphrase and syno-
nymy are important for the analysis of lexemic sentences and
phrases as well as for the analysis of lexemes which are posited
as the minimum lexemic units.









In contrast, grammatical structure is a variety of surface
structure. For example, "grammatical subject" and "grammatical
object," i.e., subject and complement, are constituents of gram-
matical constructions on the clause level. In levels beyond the
sentence, the grammatical order of constituents is the actual
surface order in which the narrative is told. Morphemes are po-
sited as the minimum grammatical units.
The nature of constituent units in lexemic constructions is ra-
dically different from that of constituent units in grammatical
constructions, but the boundaries of the two kinds of construc-
tions frequently coincide. However, the boundaries are not always
isomorphic so that the lexemic and grammatical constructions can-
not be mapped onto each other in a direct, one-to-one manner.
(1968:2-3)

This kind of mapping can be easily done in many cases. For example, the

lexemic function of the introduction of a participant into a paragraph is

usually equivalent to and realized in the theme and this is further rein-

forced by one of the thematizing cohesive devices-left dislocation in

many cases. The lexemic function of summation is sometimes indicated by

the kind of structure we are calling peak sentences, but this is not al-

ways the case. Such sentences always represent the peaks of paragraphs

grammatically but only sometimes are these peaks the realizations of such

sentences.

The third and most discussed way to view paragraph structure is gram-

matically. The grammar of a paragraph is the system of units (Longacre's

current term) or constituents (Wise's term) whose order is the actual

surface structure order of the paragraph. Longacre (1968, 1976, Forth-

coming) especially has long made the case that paragraphs are grammatical

entities and that each type of paragraph (narrative, explanatory, horta-

tory, dialogue, precatory, etc.) has its own grammar. He contends that

the units (in his 1968 work he calls them "tagmemes" in positing his









paragraph formulae, as we will see below) which constitute such enti-

ties are ordered linearly, and he posits a tagmemic formula for each

major and minor type of paragraph in Longacre (1968).

As Becker (1965) rightly points out, the description of paragraphs

as grammatical entities owes much to traditional rhetoric. Longacre's

and especially Becker's formulae for expository paragraphs resemble

closely long-employed formulae for paragraph development in rhetoric

texts. Becker's contention is that the majority of expository para-

graphs are organized grammatically in either a TRI (Topic-Restriction-

Illustration) or a PS (Problem-Solution) fashion.

Longacre's major contributions to the study of the grammar of para-

graphs lie in the aforementioned formulae and in his systematic delinea-

tion of paragraph types (Longacre 1968) and discourse types (Longacre

1968, 1976) on the original basis of studying paragraphs and discourses

in twenty-five Philippine languages and dialects. His general formula

for the tagmemes constituting explanatory paragraphs in the various

languages is3

PRELIM (+TEXT *EXPO *REASON *RESULT *WARNING) *TERMINAL
(1968:109)

With TEXT as the only obligatory tagmeme, this formula can clearly ac-

comodate an indefinitely large number of different patterns, since EXPO

(exposition) "can occur an indefinite number of times in paragraphs"

(p. 109). Longacre views TEXT as "much like the topic sentence of tra-

ditional rhetoric" (p. 109). We take the formularization of the gram-

mar of general paragraph types to be a desirable goal, but it is not









clear yet how tightly one can be devised for expositions in English.

Longacre's quest for a formula for the linear organization of para-

graphs serves as a practical model for us; our study focuses on two of

the units Longacre posits in his formula for expository/explanatory

paragraphs.

Longacre has revised his views on two of his units (or tagmemes,

as he called them in 1968), Text and Peak. Originally likening Text

to a paragraph's topic sentence, he indicates that the obligatory unit

in a paragraph is the theme, that piece of information which a para-

graph is "built around" and which, for an expository paragraph, "is not

different in kind from a thematic participant" in a narrative para-

graph (Forthcoming:118). The distinction between a topic sentence and

a thematic piece of information is an invaluable one; especially it is

the piece of information (a participant or whatever) which, through an

anaphora chain, gives thematic units to a paragraph. This most recent

view of Longacre's that a paragraph has an obligatory theme is consis-

tent with the one we maintain here.

In his earlier view, Longacre considered Peak to be only one as-

pect of Text. He states that Text "is the PEAK grammatically and lex-

ically of its paragraph. As PEAK of its paragraph the TEXT contrasts

in placement with the PEAK (BU or STEP ) of NARRATIVE and PROCEDURAL

PARAGRAPHS which come later in the paragraph" (1968:109).4 In a later

work, he indicates that Peak is the plot-like element optionally pres-

ent in non-narrative as well as narrative paragraphs (Longacre 1976:

228-9). It comes near the end of and represents a kind of climax or









denouement to the paragraph. Longacre's most recent view of Peak

is an even more refined one:

For discourses that are not narrative but still have a climax
of development, the peak may mark "target procedure" in a
procedural discourse, "climactic exhortation" in a behavioral
discourse of the hortatory variety, and a most satisfactory
or "culminating explanation" in expository discourse. .
(Longacre and Levinsohn 1978:105)

If we look back to the exposition above at the sen-

tence therein ("I think this is the greatest change that has happened

in our town is to have new people coming in with new blood, new

thoughts, new ideas, new approach to things"), we see clearly that this

sentence represents the culminating explanation and that it is the

peak of this one-paragraph exposition. Our chapter four below is

largely devoted to showing how such sentences indicate the peaks of

paragraphs.

In the remainder of this study we show the extent to which we can

find that certain surface structure cohesive devices are associated

with grammatical units of expository paragraphs.

At this point we should ask why we find surface structure cohe-

sive devices such as thematizing constructions and peak sentences at

all, since their use is not categorical. Left dislocation, as we will

see in chapter three, is employed in only slightly more than one-fifth

of its potential cases. If left dislocation is optional, as are other

thematizing constructions in English, why do speakers use it at all?

Why is it that grammatical units of the paragraph are sometimes

overtly marked by a specific structural reflex? We will suggest here









that such devices occur because they serve certain of a speaker's

pragmatic purposes.

The speaker's primary purpose in exposition is to convey new infor-

mation to the hearer. For this reason the speaker/producer of a dis-

course or text takes into account the presuppositions and expectations

of the hearer. The hearer expects the speaker to supply the necessary

antecedents and background for him/her to follow what is being said. In

other words, they have what is referred to as the

"Given-New Contract" of cooperation. The speaker must be aware of what

the hearer knows, which information has already been given to the hearer,

and which information will be new to the hearer. The hearer must make

the effort to follow the progress of the exposition.

It follows that any means which facilitates the fulfillment of this

contract and which makes an exposition easier for a hearer to follow may

well be used. While such thematic devices as left dislocation can appa-

rently be used also for other pragmatic reasons, basically they seem to

facilitate this given-new contract between the speaker and the hearer.

Thematic devices present to the hearer what new information will be com-

mented on in an ensuing message. This piece of information represents

what will be thematic for what follows and has the potential for being

the antecedent for the following block of discourse. It is only if the

hearer has such a piece of information, the theme, clearly in mind that

he/she can compute what the speaker says.

It is probable that the use of cohesive devices is especially fa-

vored by a speaker in certain pragmatic situations. Left dislocation,









for instance, seems more likely to be used when a speaker wishes to be

emphatic, to show a contrast, or to make a particularly abrupt point.

Although the primary function of left dislocations is to introduce new

themes, our corpus has thirty five instances of left dislocation invol-

ving given information, when a speaker wishes to reemphasize a piece of

information emphatically. In nearly ten percent of our left disloca-

tions (45 out of 606) we find the dislocated NP immediately preceded by

"but" or "however," showing that the speaker contrasts those NPs with

earlier ones. In seven instances, we find that a left dislocation is

immediately followed by an identifying sentence, as in

1) Threshing floors, that's what they had. (III2-27)

This shows that a speaker wishes to make an especailly abrupt point

about a theme.

In the remaining chapters of this dissertation a strong case is

made that we cannot understand how expository discourse is organized

without considering the supersentential or discourse context of cer-

tain cohesive devices. If this is true, it seems to imply something

about how a speaker communicates to a hearer. Cohesive devices, the

formal signals of the language in which a discourse is expressed,

seem to aid a speaker in communicating the hierarchical structure of

a discourse linearly. This is another way of saying that such devices

communicate the outline (implicitly, of course) of an ongoing discourse

to a hearer.









Longacre's Typology of Discourse Genres

It was indicated in chapter one that for practical reasons the

fieldworker chose to elicit expositions rather than other types of oral

discourse in the White Pine community. It was apparent that exposi-

tions were the type most readily elicitable from the cross-section of

people that he wished to interview. Also it was decided that the col-

lection of a large corpus of expositions rather than smaller corpora of

two or more types of discourse would be more conducive to generaliza-

tions about expositions.

That exposition is a distinguishable discourse type is not an ad

hoc presumption on our part. It is a hypothesis based on the typology

of discourses developed by Longacre (1968, 1976). In his study of

twenty-five languages and dialects in the Philippines, Longacre and his

colleagues undertook the basic spadework of sorting out which discourse

types could be described across the languages studied. The typology of

discourses which resulted has provided a practical framework for fur-

ther investigations with other languages, as this study is an investiga-

tion into the English of the Southern Appalachian region.

Limiting himself to prose monologues, Longacre indicates that four

genres of such monologues (narrative, expository, procedural, and hor-

tatory) have common characteristics cross-linguistically and that

within any given langauge there are a finite number of other genres.

We may characterize the four main genres as follows: narrative dis-

course relates a story of some kind; expository discourse explains

something or exposes a subject; procedural discourse (e.g. a recipe)









tells how to do something; and hortatory discourse endeavors to bring

about a change of some kind.

The major parameters along which these four genres are distin-

guished are shown in Figure 2.1 on the following page and adopted from

Longacre (1976). The rows in this figure distinguish those genres

which are +succession (having a sequence in time) and those which are

-succession (lacking a sequence in time). The columns distinguish the

+projection (occurring in the future) from the -projection (those hav-

ing accomplished time or in which the time frame is not focal) genres.

Longacre's scheme further indicates the person orientation of each of

the four genres.

According to Longacre's typology, narrative discourse characteris-

tically involves a sequence in time, occurs in an accomplished (past)

time frame, is agent-oriented, and is related from the first or third

person point of view. Procedural discourse also involves a sequence in

time, but occurs in a projected time frame, is patient-oriented, and is

not related from the point of view of a specific person. Hortatory

does not involve a sequence in time, is set in projected time, is ad-

dressee-oriented, and is related from second person point of view. Hor-

tatory discourse strictly speaking does not have a time frame but a

mode-since the speaker is wishing or urging that something take place.

Expository discourse need not involve a sequence in time nor does it

necessarily have either an accomplished or a projected time frame (time

is not focal). Expository discourse is subject matter-oriented and has

no necessary person reference (point of view). It is essentially im-
personal and may involve either inanimate or animate entities. If




















S NARRATIVE PROCEDURAL
U 1. 1/3 person. 1. Non-specific person.
C 2. Agent oriented. 2. Patient oriented.
C 3. Accomplished time. 3. Projected time.
+ E 4. Chronological linkage. 4. Chronological linkage.
S
S
I
O
N

S EXPOSITORY HORTATORY
U 1. No necessary person reference. I. 2 person.
C 2. (Subject matter oriented). 2. Addressee oriented.
C 3. Time not focal. 3. (Mode, not time).
-E 4. Logical linkage. 4. Logical linkage.
S
S
I
0
O
N

Diagmm I. Deep structure genre


Figure 2.1 Deep Structure Genre
(From Longacre 1976:200)


-PROJECrED


+PROJECTED











it brings in people," Longacre says, "they are simply subjects of

explanation and analysis" (1976:199).

More recently Longacre has furthered elaborated his scheme by

adding another parameter tensionon. What he says about tension char-

acterizing some discourses is worth repeating:


The final parameter *tension also applies to all the above dis-
course genres. Narrative discourse is purely episodic if it
contains essentially no struggle or plot (for example Willa
Catcher's novel Shadow on the Rock). Such discourse is consi-
dered to be -tension. Most stories, however, involve some
sort of struggle or plot and are clearly +tension. Similarly,
in procedural discourse, there are some discourses which are
more or less routine, while others involve struggle and alter-
natives and are therefore +tension. Both behavioral [horta-
tory] and expository discourse have varieties in which argu-
mentation is assumed. These are also +tension. Discourses
of these genre which do not have this characteristic are
-tension. (Longacre and Levinsohn 1978:104)

we mention this third parameter because it concerns the presence or

absence of a peak in the discourse: "If a discourse is plus tension,

there will most likely be some kind of climax of development, some

marked surface structure 'peak' (Longacre, 1978 ). This is a pri-

mary concern of chapter four.

Longacre's characterization of expositions appears to have consi-

derable validity for the expositions constituting our corpus, although

it must be pointed out that Longacre's types are "pure." In actuality

discourses often of different types are embedded within one another.

For example, within an exposition may be embedded a short narrative

for background or illustrative purposes. Longacre recognizes this in

viewing his genres as deep structure ones which are sometimes skewed in

the surface structure (1976:206-9).









Notes



1. The parenthetical notation at the end of these and all further
data in this dissertation refers to the page of typed transcript
on which they are found. For information on which speaker any
data are from, consult the list of informants in Appendix A.

2. Terminological obfuscation notwithstanding, we use lexemic to
refer to concepts such as those of Klammer and Wise, including
contrast, comment, addition of participant, specification, which
are manifested in linguistic structure in various ways. Other
tagmemicists (e.g. Pike and Pike 1977) use "referential" to
refer to such concepts. Stratificationalists use the term "seme-
mic."

3. For Longacre, terms "explanatory" and "expository" are equivalent
in his 1968 study.

4. Step and BU (Build Up) are the obligatory tagmemes in procedural
and narrative paragraphs.

5. In his 1976 work, Longacre does not distinguish description from
exposition and we will consider description a subtype of exposi-
tion here.












CHAPTER III

THEMATIC DEVICES


General Remarks
It is indicated in chapter two that a speaker may use certain

constructions known as cohesive devices to signal to a hearer what

the theme of a following block of the speaker's message will be.

Theme is the obligatory unit of such a block or paragraph and is de-

fined as the piece of information (not necessarily a human participant)

which initiates an anaphora chain and which the block is about. Al-

though it must be generalized to apply to all paragraphs, this narrow

definition of theme demonstrably applies to those paragraphs in our

corpus beginning with thematic devices.

In this chapter our concept of theme is compared with others

(Halliday 1967-8, Firbas 1966, Jones 1977) and we discuss briefly those

constructions that these treatments (especially Jones) consider to be

thematic devices. The main portion of the chapter explores the nature,

functionss, and distribution of one particular device-left disloca-

tion. This is one very common device through which paragraphs are

formed in this corpus of expository monologues. Finally we look at

existential sentences in the corpus and see how they also function as

thematic devices. They also complement left dislocation.

More often than not themes are reflected by anaphora chains ex-

tending for more than one sentence. An anaphora chain is a string of









substitutes (pronouns, for the most part) in a paragraph of language

which refer to a common piece of information or theme and is a special

kind of equivalence class. According to Becker (1965), an equivalence

class includes not only pronouns and demonstratives but also the repe-

tition of words and their synonyms. Although not every paragraph in

our corpus has an anaphora chain, those which begin with a "left dis-

located" NP nearly always do. In the two following examples the links

of the anaphora chains are underlined:

1) Fieldworker: Haveyou participated in any of the Pine Day cele-
brations here in town? Have you attended any of them?
Informant: Yes, I usually go, because the ladies of our church,
we usually have a booth. We bake things, and so we have a
sile. That's a big day for us, you know. That's a way to
make uh some money for our uh projects, and things like that,
and that's how we were able to help pay for our uh paint that
recently that we uh, we painted the inside t1e-church. The
ladies did a little painting, but, but we did have enough
cashto buy all the paint. (III4-15)

2) ...This property that he, he let us have then for the parsonage,
build a parsonage of it, it, at one time there was, was a school
there. I was going to reTte that to you. There, that's where
that I went to school, and my first eight years of schooling
was right there. And at this old school, that's where this par-
sonage now sets across from our church. (11I2-1)

In the first example, "the ladies of our church" is clearly the theme

of a block of information several sentences beyond its introduction. We

find ten pronouns referring back to it and one repetition of "the la-

dies." In the second example, the theme is "this property. .."; it is

around the property that the remainder of the exposition here is orga-

nized. The anaphora chain contains such a pro-word as "there," since

the piece of information which is left dislocated and which is thema-
tic is a locus. We see in these examples that theme is not just an











intuitive notion but that it demonstrably organizes a block of dis-

course.

Our view of theme as that information which unifies a block of dis-

ourse and which often is reflected by an anaphora chain is not incon-

sistent with other views found in the literature. For Halliday,


Theme is concerned with the information structure of the clause;
with the status of the elements not as participants in extralin-
guistic processes but as components of a message, with the rela-
tion of what is being said to what has gone before in the dis-
course, and its internal organization into an act of communica-
tion. (1967:199)


Halliday's position is that theme is involved in both clause and dis-

course structure. Theme is "what comes first in a clause" and around

which the remainder of a clause is structured (1967:212). But also

theme is that information which "is being talked about" (p. 212) and

which assigns


.to the discourse a structure which is independent of sen-
tence structure and through which the speaker both organizes
the act of communication into a chain or message blocks, the
'information units', and specifics within each message block
the value of the components in the progression of the dis-
course. (p. 196)


Halliday's express concern, however, is not to show how a theme parti-

cipates in discourse but to explore the many choices that a speaker

has for theme and how a clause is organized around such choices. To

support his clain that "the sneaker has within certain limits the op-

tion of selecting any element in the clause as thematic" (p. 212), he

shows the variety of different elements which may be fronted and thus









thematized in sentences with inverted word order (pp. 214-5). In sen-

tences 3 and 4 below, for example, a direct object and a temporal ad-

verb are thematized:

3) These houses my grandfather sold.

4) Tomorrow John's taking me to the theatre.

Sentences with such inversions are very infrequent in our data, but Hal-

iday's general claim about the kinds of elements which may be themes

matches closely those thematized by left dislocation shown later in

this chapter.

The present study takes a step beyond Halliday by examining how a

theme relates to a context beyond its immediate sentence, but our view

of theme is consistent with Halliday's. Nowhere does he state that a

theme's domain is bounded by its immediate sentence, and we may reason-

ably infer that he would agree with our finding that theme plays an

important role in organizing a paragraph.

In the Prague School view, theme has to do with the information

structure of a sentence. The elements) of a sentence which are

"given" (previously mentioned in a discourse) constitute that sen-

tence's theme. The theme need not appear in initial or in any other

sentence position and a sentence need not have any given information.

If it does not, it has no theme (Firbas 1966:268). Danes and Firbas,

contemporary members of the Prague School, continue this tradition.

Firbas' view of theme, however, is much less similar to the one we

take here because it is explicitly confined to the limits of a sen-

tence. His view is a refinement of the widely known theme-rheme




Full Text
100
"I mean," "I guess," and "I think." Such clauses add little or no in
formation to the theme of a passage. They differ insignificantly
from dislocations from matrix clauses. If we add these to all the dis
locations of matrix subjects, objects of verbs and of prepositions, we
find that 92 percent (506 of 550) of the dislocations are of the matrix
kind. Our contention in this chapter is that left dislocation intro
duces thematic elements into the stream of discourse. Since it is
quite reasonable that newly-introduced participants and thematic pieces
of information are most likely found in the central part of a sentence,
it is no surprise that matrix clause NPs are by far the preferred ones
for left dislocation. However, the non-matrix dislocations are of the
matic elements. But clearly it is usual that they first appear in a ma
trix clause.
Three other types of NPs which can be dislocated and replaced by
an appropriate pro-word are locatives (22 instances, 3.6 percent of the
total), as in 19-20 below, temporals (4 instances, 0.7 percent), as in
21 below, and possessives (23 instances, 3.8 percent), as in 22-3 below:
19) Well, at White Pine, you know, you're really more of an indivi
dual there. (VI11-1)
20) Now where Earl Atchley was raised, I mean over at Rankin side.
there was a big coal chute over there that furnished. .
(II12-6)
21) Back when that thing was a-running, well, I didn't know nothing
about it then. (X2-28)
22) This little James boy lived right down the road from here, just
the othere day my pastor had his funeral. (VI14-16)
23) Some of these very people who would criticize uh the rural areas
of East Tennessee, their ancestors came out of them. (X4-11)


19
Throughout all of the churches one finds a firm fundamentalism
(Puritanical in kind for most churches). One finds also a strong com
mitment to evangelistic activity and to the need for the individual to
undergo a conversion experience and for the congregation to support
missionary activities and frequent week-long revivals.
All the White Pine inhabitants refer to each one of the ten min
isters in the community as "Preacher" regardless of an inhabitant's own
church affiliation. Undoubtedly this reflects the fact that until a
generation ago, local churches usually did not have their own ministers.
Rather, they shared a minister with one or more churches outside the
community (the days of the "circuit riders"). It also seems to reflect
the present-day notion that preaching the Word of God is the most impor
tant duty a minister has. The epithet thus continues even though cler
gymen have adopted all the everyday duties of the profession (counsel
ing, visitation, etc.) in recent years. Preachers are also invested
with a great deal of moral authority in the community. They can wield
considerable political influence as well, if they choose, on many is
sues of local import such as the granting of beer permits or of permits
for businesses to open on Sunday. These are quite important issues in
White Pine.
One finds little evidence of sectarianism in White Pine. There
seems little difference between the Baptists, the Methodists, and the
Presbyterians in either their theology or in their way of conducting
business. Indeed, they coexist quite harmoniously. One's church af
filiation is viewed generally as dependent on the affiliation of one's
parents or one's spouse, not on one's personal convictions.


29
Throughout the literature on Southern Appalachia runs the view
that its people and culture are distinctive in at least a broad sense.
Most comnentators on the region point out that a combination of such
traits as "fierce" individualism and mistrustfulness of all strangers,
among others, characterize the Southern Appalachian native and make him/
her different from other Americans. White Pine is more of a valley than
a mountain community, and such characterizations have been more accu
rate of the isolated communities in the region than of the urban and
valley sections of Southern Appalachia. This has sometimes been recog
nized, as by John C. Campbell, who lived and taught in the region for a
quarter century. Campbell was concerned that some of his statements in
his The Southern Highlander and His Homeland would not be understood as
"applicable to the remote rural folk who were the particular object of
his study [and] were not true of their urban and valley kinsfolk"
(1921:xiv). But such characterizations, while sometimes extreme,
rarely claim that Southern Appalachia is culturally or socially homoge
neous. White Pine itself is certainly neither. Yet several broad cul
tural traits have for so long been pointed out as typical of Southern
Appalachian people that it is worthwhile to determine if they are ap
plicable to White Pine and can enable us better to understand it as a
Southern Appalachian community. We will ocnsider the four traits or
themes mentioned above that Ford chose to examine by conducting a
region-wide survey of Southern Appalachia. Ford found these traits to
be significantly apposite to both urban and metropolitan communities,
although less so than to rural communities.


6
Figure 1.1 Jefferson County, Tennessee
(Source: East Tennessee Development District)


55
The use of brackets and parentheses in the interview transcripts
follows the suggestions of Ives (1976). Parentheses serve to enclose
short interviewer remarks (rarely more than the occasional "uh-huh"
or "ham" which insures an informant that the interviewer is intently
following the informant's account) which did not cut short or deflect
an informant's train of thought. Occasionally parentheses were also
employed to suggest an alternate transcription, when the speech on
the tape was not quite intelligible. Brackets enclose either inter
viewer comments on the informant's behavior or short summaries of the
interviewer's speech. In the interview excerpt presented below, the
two different uses of parentheses are exemplified.
Fieldworker: In general, what have been the most significant
changes that you've seen in the community of White Pine it
self during your lifetime?
Informant (74 year-old male): Oh, I guess this, what I remember
as farmland is, has been being and is being covered up with
houses and housing developments and such as that, (uh-huh)
and around the town. Most of those, I remember when, when
that was farmland, the ones out this side of town and well,
that's all around town. And that uh, and that and inflation,
(hmm) Course, we've gone from, as far as uh, as transporta
tion, we've gone from horses and buggies and mules for to
farm with, and buggies to ride in and, and trains hauled the
produce, to now it's gone to trucks. The trains are, people
ride in cars and, and uh, and produce being hauled in trucks,
right off the farm from there on, from the time it's produced
til (to?) the, the time it's gets to the grocery store. Rail
road used to use a good many people. That was pretty big bus
iness. Of course, it hauled lots of people in those days.
That was quite a, quite an event when a train came to
town....
As mentioned, all the interviews were entirely transcribed by the in
terviewer himself. Inevitably there are sentences, phrases, and even


10
possible. As one sixty-year-old farmer who witnessed the relocation
of the thirties put it,
...the landowners were against it. They didn't want uh, they
didn't want to move out....Of course, we realize now that TVA
is our, our main uh source of energy and power and so, I don't
know what we'd do without it.
TVA, through its water management and its provision of electricity, set
the stage for the ensuing economic development of the area, for the
profitability of agriculture, and especially for the coming of indus
try. Since the war several dozen major factories have relocated to
East Tennessee.
Until after the Second World War and the locating of the facto
ries White Pine was very much an isolated farming community. Its
sphere of interest hardly extended beyond its boundaries. A half dozen
stores provided the necessities and there was little pressure to de
velop the town residentially, commercially, or industrially. The sen
timent was to keep the town as quiet as possible and to keep any con
scious development out. This is how the state of affairs in White Pine
remained, too, until only a few years ago. Eventually the preoccupa
tion with prohibiting development was buffeted by demands for more
housing, for recreational facilities, and for planning in general, so
the town has had to undergo considerable growing pains in meeting these
demands. These pains will persist for a long time because the pres
sures, primarily from the younger generation, will continue.
The most profound development in White Pine over the past thirty
years has been its evolution into a "bedroom" or almost strictly


176
Hinds, John V. 1977. Paragraph Structure and Pronominalization.
Papers in Linguistics. 10. 77-99.
Hinds, John V. 1978. Levels of Structure Within the Paragraph.
BLS 4. 598-609.
Hymes, Dell. 1971. The Contribution of Folklore to Sociolinguistic
Research. Journal of American Folklore. 84. 42-50.
Ives, Edward 0. 1976. A Manual for Field Workers. Volume 15 of
Northeast Folklore. Orono, Maine: The University Press.
Johnson, Linda and Richard Bayless. 1976. Cohesion in a Discourse-
Based Linguistic Theory. Manuscript.
Jones, Linda Kay. 1977. Theme in English Expository Discourse.
Lake Bluff, Illinois: Jupiter.
Kaberry, Phyllis. 1957. Malinowski's Contribution to Fieldwork Me
thods and the Writing of Ethnography. In Man and Culture: An
Evaluation of the Work of Brontislaw Malinowski, by Raymond
Firth. New York: Harper and Row. 71-91.
Kantor, Robert Neal. 1977. The Management and Comprehension of
Discourse Connection by Pronouns in English. Ohio State Uni
versity dissertation.
Keenan, Elinor Ochs and Bambi B. Schieffelin. 1976. Foregrounding
Referents: A Reconsideration of Left Dislocation in Discourse.
BLS 2. 240-57.
Kephart, Horace. 1976[1922]. Our Southern Highlanders. Knoxville:
University of Tennessee.
Ketner, Kenneth Laine. 1973. The Role of Hypotheses in Folkloristics.
Journal of American Folklore.
Klammer, Thomas Paul. 1971. The Structure of Dialogue Paragraphs
in Written English Dramatic and Narrative Discourse. Univer
sity of Michigan dissertation.
Klammer, Thomas P. and Carol J. Compton. 1970. Some Recent Contri
butions to Tagmemic Analysis of Discourse. Glossa. 4. 212-22.
Koen, Frank M., Alton L. Becker and Richard E. Young. 1968. The
Psychological Reality of the Paragraph. In Proceedings of the
Conference on Language and Language Behavior, edited by Eric M.
Zale. New York: Appleton-Century Crofts. 174-87.


140
In such sentences the deictic is anaphoric (except in a small
handful of cases we discuss later). It points backward in the
discourse and identifies something which has gone before with a
clause of information following it. The something ("beer joint,"
"shopping center," and "fight back") usually, but not always,
appears in the preceding sentence. Halliday (1967) indicates the
communicate effect of anaphoric identifying sentences:
33) ... the combination of deixis with identification,
particularly when the deixis is anaphoric, being highly
effective as a form of communication. The speaker
represents one part of the message as to be identified,
and then identifies it with something that is shown deic-
tically to be recoverable from the preceding discourse.
Furthermore since the demonstratives may have extended
text reference the identifier "that" in most instances is
not restricted to an element functioning in the clause;
any stretch of discourse may participate in the identifying
relation in this way. (p. 232)
If the identification is not with an NP as in examples 30-2 above
but with the entirety of a foregoing block of discourse, the effect
is of a summing up and tying together of the block. Showing this is
the following extended excerpt:
34) Fieldworker: What's a funeral like in a small town where
everybody knows everybody?
Informant: I think it's more important to the people. Yeah,
a funeral to me, it's not for the dead person. It is for the
people who are living, (uh-huh) that have lost somebody, (uh-
huh) In here, you know, if you know the person, you, every
body feels a sadness and, you know, you comfort 'em, and
we're we're closer. You know, the biggest thing to me is
like my Aunt, we viere talking a little bit about these funer
als, that you send invitations to a funeral, and that (hmm)
to me would just be, you know, how could you send an invita
tion to something like that? I mean you send invitations
to parties and things. Uh it* to. me, you know, a funeral
where you come if you want to. You know, you don't come just
because you got that invitation, come by invitation, then


13
of its college-educated citizens settle in town despite its lack of
opportunities. One twenty-five-year-old male college senior puts it
this way:
It's hard to say, you know, when the settling down comes, you
know, when, when I might settle down. I might settle down next
year, you know, or else it might be five more years from now,
maybe longer. But I like to think that I'd come back to this
town, you know. I, I think right now that it's still a fairly
good town, want to plant your roots.
Others choose to remain in the town because of a feeling of belonging
to the community, because they value the cohesiveness (although not as
tight as it once was) of White Pine and live without many of the ameni
ties of larger communities.
As indicated earlier, White Pine is an underdeveloped community.
Thw town itself, in contrast with the surrounding area, has virtually
no industry and relatively few commercial outlets. It has no motel, no
entertainment outlet, and no restaurant. It has none of these things
by design and promises to resist them in the near future, content to
maintain its "bedroom" status. Although it is not accurate to call the
town entirely unprogressive, one finds that even the young and college-
educated members of the community sometimes have reservations about the
town's growth and expansion. The college senior quoted above says,
regarding "progress,"
. . progress is on its way. It's on its way, you know, but for
some reason I can't but feel a kind of remorse, you know, . .
it's a reaction that I really do feel sad sometimes and regret and,


2
essential claim of this dissertation is that oral discourse structure
must be considered primary to written discourse, a principle which
has long been axiomatic for other levels of linguistic description
(Bloomfield 1933:21ff.). In studying oral discourse linguists have
heretofore dealt with highly formularized types (folktales and other
narratives) in English and not with spontaneous expository discourse.
This study is based on the premise that speech is hierarchical
as well as linear in structure, that it has, in other words, struc
tural units larger than the sentence and that it has structures whose
domains extend to groups of sentences. Further it leads to the
hypothesis that speech (expository in this case) has describable
paragraph structure.
Oral paragraphs may be viewed as having three different kinds
of structure: phonological, grammatical, and lexemic (Klammer 1971).
This study examines their grarmiatical structure and its second hypoth
esis is that the grammatical structure of oral expository paragraphs
is organized by certain surface structure cohesive devices (as des
cribed by Longacre and Levinsohn 1978). It investigates this hypoth
esis by examining the function(s) and distribution of the following
devices:
1) Introducers of themes into the stream of discourse. Such
introducers include left dislocation (as in "My mother, she's a
great cook"), existentials (as "There's a man here to see you"), it-
clefts (as "It was my brother who called") and WH-clefts (as "What I
did was to completely strike out").
2) Deictics (pointing words such as "that" and "this"), both


14
and feel that progress is not, is not as good maybe as a lot of
people think it is. It has its disadvantages as well as its ad
vantages, you know.
The effect of White Pine's resistance to growth and its sense of
community is that it is very slow to accept new residents, which causes
the outsider to view its people as clannish. With the accelerating im
migration into White Pine, however, of people with a diversity of back
grounds, the residents have had to learn to assimilate new neighbors
more quickly. The minister of the town's largest Baptist church moved
to White Pine from Kentucky in 1969. He describes the communitys re
ception of new people as follows:
I think the people in White Pine are very slow to accept you
within the community. They're very friendly, but a distant
friendliness. Uh they keep you at a distance, not only when
you move, but throughout your stay in White Pine to some de
gree. Uh I find the people in White Pine very, very friendly
outwardly, but uh not across the board as in some communities
They tend to stay within family groups or little cliques of
three or four families. There seems to be no broad base of,
of acceptance,...
This reluctance to accept newcomers manifests two salient traitstra
ditionalism and individualismlong considered characteristic of South
ern Appalachian culture, as pointed out by Ford (1962:11). Later in
this chapter we examine four basic traits discussed by Ford and see how
they aptly characterize White Pine as an Appalachian community. But
first we survey the economic and religious sides of White Pine's life
and then put this study into the perspective of others on Appalachian
English.


65
for other discourse types" (1977:155). Very few linguists have at
tempted to do this, however. Longacre, in his Philippine study (1968),
has been the only one to do this. He posits formulae for the gramma
tical structure of each type of discourse and paragraph. This comment
also applies to his extension of the concept of plot to types of dis
course other than narratives.
Nearly all discourse analyses have investigated only written or
very highly formularized (i.e. the sermon or the folktale) oral texts.
The discourse features which they consider are not necessarily, even for
expositions, the same as those in spontaneous oral discourses, which we
will be concerned with here. As an example, we can compare Jones (1977)
with the present work. In her study of written expositions, Jones con
tends that thematizing devices (repetition, marked word order, rhetori
cal questions, clefting and pseudoclefting, among others) can fruitfully
be studied in written texts. But all the devices she finds are ex
tremely rare in our White Pine corpus of oral expositions. The sole ex
ception to this statement is conjunctions, which are of secondary impor
tance in communicating themes. Moreover, the two most frequently used
thematic constructions from our corpus (left dislocations and existen-
tials) she does not mention. Thematic and other devices should be stud
ied, but we should not assume that they are identical for written and
oral texts.
Other analysts have suggested other types of devices as crucial to
study in a discourse context: punctuating or transitional devices (Mer
ritt 1972), various kinds of anaphora (Gutwinski 1976), equivalence


66
chains (Harris 1963), and those of Halliday and Hasan and of Williams
mentioned above. As valid as it may be to study each of these types,
the necessary heuristic framework for the comprehensive study of co
hesive devices in discourse is provided only in Longacre and Levin-
sohn (1978). Our approach to the paragraph structure of oral exposi
tions is largely based on the ideas in this article.
As suggested in their title, "Field Analysis of Discourse," Long-
acre and Levinsohn offer a framework for discourse analysis for lin
guists working in the field with little-studied languages (such as
those which Summer Institute of Linguistics workers frequently encoun
ter). What the present writer has chosen to do is to adopt it for
fieldwork with a much-studied languageEnglish. Longacre and Levin
sohn are determined to bridge the gap between the abstract structure
and the specific cohesive devices of a discourse but insist that the
analyst can do this only by first identifying and describing the "sur
face structure cohesive devices" and discourse constituents: "The job
of the analyst is to...look through the flesh and the skin to the
skeletal structure beneath and to perceive the fundamental structure
of the whole" (1978:105). The aims of the analyst are to show how
these cohesive devices operate and then to display an outline of the
discourse in a schematic fashion.
Longacre and Levinsohn present eight surface structure cohesive
devices which permit a discourse to be outlined:
1) The role of tense and voice;
2) Particles and affixes;


43
1) A hesitation "I don't know" which frequently occurs, as in
our excerpt, with "well." This expression buys a little time
while the speaker decides exactly how to phrase an answer.
2) An ignorance "I don't know," exemplified by the other two in
stances, which indicates the speaker's recognition of his/her
inability to answer or express him/herself.
3) A reluctance "I don't know" which is most often used as an ini
tial reply to a question in order to show an informant's imme
diate reluctance to reveal his/her thoughts on a subject. This
differs from the first "I don't know" above. This "I don't
know" is not a refusal, however; informants almost invariably
went on to give a direct answer after showing initial reluc
tance.
The preparation of the ethnography of White Pine presented above
included the major sources on the Southern Appalachian culture and re
gion (Kephart 1922, Campbell 1921, Weller 1965, Ford 1962, Vance 1935,
Hicks 1976, and others). It also included major sources on the East
Tennessee area (Folmsbee et al. 1969, Dykeman 1977, and others). Spe
cial attention was given to the few sources on Jefferson County, Ten
nessee, available in local East Tennessee libraries. From the East
Tennessee Development District office in Knoxville were obtained sum
maries of the 1970 census reports and other vital statistics on the
White Pine community. In addition, much useful information was gath
ered from the informants regarding local affairs.
The second step, taken after the preparation of as much of an eth
nography as was possible from written sources, was the researcher's



PAGE 1

$ ',6&2856( $1$/<6,6 2) (;326,725< $33$/$&+,$1 (1*/,6+ %< 0,&+$(/ %5<$17 0217*20(5< $ ',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 2

&RS\ULJKW E\ 0LFKDHO %U\DQW 0RQWJRPHU\

PAGE 3

$&.12:/('*0(176 )RU WKHLU DVVLVWDQFH WR PH WKURXJKRXW P\ JUDGXDWH VWXGLHV DQG HVSHFLDOO\ LQ XQGHUWDNLQJ WKH ILHOGZRUN IRU WKLV GLVVHUWDWLRQ DP LQGHEWHG WR P\ SDUHQWV ,Q PDQ\ ZD\V WKLV GLVVHUWDWLRQ ZRXOG KDYH EHHQ LPSRVVLEOH ZLWKRXW WKHP DQG WR WKHP GHGLFDWH LW 7KH ILHOGZRUN IRU WKLV GLVVHUWDWLRQ FRXOG QRW KDYH EHHQ FDUULHG RXW ZLWKRXW WKH JUDFLRXV DVVLVWDQFH RI P\ FRQWDFW SHUVRQV LQ :KLWH 3LQH WKH $WFKOH\V f§ (DUO (PRJHQH 6WHYH DQG 3KLOLSf§ZKR HQDEOHG PH WR PDNH WKH QHFHVVDU\ FRQWDFWV ZLWK DQG WR HVWDEOLVK D UDSSRUW ZLWK P\ LQIRUPDQWV 7R WKHP ZLOO DOZD\V EH JUDWHIXO DOVR ZLVK WR WKDQN WKH SHRSOH RI :KLWH 3LQH IRU WKHLU KRVSLWDOn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

PAGE 4

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nV 7\SRORJ\ RI 'LVFRXUVH *HQUHV 1RWHV &+$37(5 ,,, 7+(0$7,& '(9,&(6 ,QWURGXFWLRQ /HIW 'LVORFDWLRQ 7KH 9DULHW\ RI )RUPV 6SHFLILFDWLRQV )XQFWLRQV 5HODWLRQVKLS WR 6XEVHTXHQW 'LVFRXUVH ([LVWHQWLDO 6HQWHQFHV DV 7KHPDWLF 'HYLFHV &+$37(5 ,9 '(,&7,&6 $1' 6800$5< '(9,&(6 *HQHUDO 5HPDUNV /HIW 'LVORFDWLRQ ZLWK 'HLFWLFV ([WUDSRVLWLRQV ZLWK 'HLFWLFV LY

PAGE 5

3DJH ,GHQWLI\LQJ &ODXVHV ZLWK 'HLFWLFV 3HDN 6HQWHQFHV &+$37(5 9 &21-81&7,216 $1' ,1752'8&(56 &+$37(5 9, 6800$5< $1' &21&/86,216 $33(1',; $ /,67 2) ,1)250$176 $33(1',; % 6$03/( ,17(59,(: %,%/,2*5$3+< %,2*5$3+,&$/ 6.(7&+ Y

PAGE 6

$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\ $ ',6&2856( $1$/<6,6 2) (;326,725< $33$/$&+,$1 (1*/,6+ %\ 0LFKDHO %U\DQW 0RQWJRPHU\ $XJXVW &KDLUPDQ :LOOLDP 6XOOLYDQ ,,, 0DMRU 'HSDUWPHQW /LQJXLVWLFV 7KLV GLVVHUWDWLRQ FRQWULEXWHV WR WKH ILHOGV RI GLVFRXUVH DQDOn \VLV DQG 6RXWKHUQ $SSDODFKLDQ VWXGLHV E\ GHVFULELQJ WKH GLVFRXUVH IXQFWLRQV RI VHYHUDO OLQJXLVWLF VWUXFWXUHV IURP D ODUJH VDPSOH RI VSRQWDQHRXV H[SRVLWRU\ H[SODQDWRU\ DQG GHVFULSWLYHf GLVFRXUVHV IRU D FURVVVHFWLRQ RI LQIRUPDQWV IURP D VPDOO (DVW 7HQQHVVHH KLOO FRPPXn QLW\ 7KH FRPPXQLW\ :KLWH 3LQH LV D W\SLFDO 6RXWKHUQ $SSDODFKLDQ RQH )LYH GLIIHUHQW FRQWH[WV DUH WDNHQ LQWR FRQVLGHUDWLRQ IRU WKH H[DPLQHG OLQJXLVWLF VWUXFWXUHV f 6SHDNHU 7\SH D UHSUHVHQWDWLYH VDPn SOH RI IRUW\ LQIRUPDQWV ZDV LQWHUYLHZHGf f )UHTXHQF\ RI 2FFXUUHQFH GDWD DUH TXDQWLILHG ZKHQ SRVVLEOHf f 6RFLDO 6LWXDWLRQ UHVHDUFKHU DVVXPHG RQH UROH ZLWK KLV LQIRUPDQWVf f 7DVN D VWDQGDUG LQWHUYLHZ ZDV FRQWUROOHG WR HOLFLW RQO\ H[SRVLWRU\ GLVFRXUVHf DQG f /LQJXLVn WLF WKH VHQWHQFH DQG GLVFRXUVH SRVLWLRQ RI DOO GDWD ZDV FRQVLGHUHGf 7KLV VWXG\ LV EDVHG RQ WKH SUHPLVH WKDW VSHHFK LV KLHUDUFKLFDO YL

PAGE 7

DV ZHOO DV OLQHDU LQ VWUXFWXUH WKDW LW KDV LQ RWKHU ZRUGV VWUXFn WXUDO XQLWV ODUJHU WKDQ WKH VHQWHQFH ,W K\SRWKHVL]HV LQ SDUWLFXODU WKDW VSHHFK KDV SDUDJUDSK VWUXFWXUH ,I WKLV ILUVW K\SRWKHVLV LV WUXH RUDO SDUDJUDSKV VKRXOG EH GHVFULEDEOH WR VRPH GHJUHH RI SUHn FLVLRQ DQG JHQHUDOLW\ 3DUDJUDSKV PD\ EH YLHZHG DV KDYLQJ SKRQRORJLFDO OH[HPLF DQG JUDPPDWLFDO VWUXFWXUH 7KLV VWXG\ H[DPLQHV WKHLU JUDPPDWLFDO VWUXFn WXUH DQG PDNHV D VHFRQG K\SRWKHVLV WKDW WKH JUDPPDWLFDO VWUXFWXUH RI RUDO H[SRVLWRU\ SDUDJUDSKV LV RUJDQL]HG E\ FHUWDLQ VXUIDFH VWUXFn WXUH FRKHVLYH GHYLFHV ,W LQYHVWLJDWHV WKLV K\SRWKHVLV E\ FRQVLGHULQJ WKH IXQFWLRQVf DQG GLVWULEXWLRQ RI WKH IROORZLQJ GHYLFHV f ,QWURGXFHUV RI WKHPHV LQWR WKH VWUHDP RI GLVFRXUVH 6XFK LQWURGXFHUV LQFOXGH OHIW GLVORFDWLRQ DV LQ 0\ PRWKHU VKHnV D JUHDW FRRNf H[LVWHQWLDOV DV 7KHUHnV D PDQ KHUH WR VHH \RXf LWFOHIWV DV ,W ZDV P\ EURWKHU ZKR FDOOHGf DQG :+FOHIWV DV :KDW GLG ZDV WR FRPSOHWHO\ VWULNH RXWf f 'HLFWLFV SRLQWLQJ ZRUGV VXFK DV WKDW DQG WKLVf ERWK FDWDSKRULF IRUZDUGSRLQWLQJf DQG DQDSKRULF EDFNZDUGSRLQWLQJf 6WUXFWXUHV H[DPLQHG DUH WKDWH[WUDSRVLWLRQ DV 7KDW LV JRRG WKDW -RKQ ILQDOO\ OHIWf LGHQWLI\LQJ VHQWHQFHV DV 7KDWnV ZKDW PHDQWf DQG SHDN VHQWHQFHV DV 7KDWnV WKH EHVW WKLQJ LV WR OHDYH HDUO\f f ,QWURGXFHUV DQG FRQMXQFWLRQV DQG EXW QRZ WKHQ OLNH DQG RWKHUVf ZKHQ WKH\ DFFRPSDQ\ OHIW GLVORFDWLRQ DQG DVVLVW LQ LQWURGXFLQJ WKHPHV YLL

PAGE 8

$OO VWUXFWXUHV DUH H[DPLQHG ZLWK WKH YLHZ RI LGHQWLI\LQJ ZKDW LV W\SLFDO DERXW WKHP ZKLFK LV ZK\ WKH\ DUH TXDQWLILHG QXPHULFDOO\ ZKHQn HYHU SRVVLEOH 7KLV LV WR LQVXUH WKDW WKH GDWD DUH QRW FKDQFH ILQGLQJV RI UDQGRP REVHUYDWLRQ ,W ZDV IRXQG WKDW VSRQWDQHRXV H[SRVLWRU\ PRQRORJXHV FRQWDLQ VXSHU VHQWHQWLDO XQLWV WKDW DUH WKHPDWLFDOO\ XQLILHG DQG WKDW YDULRXV VXUIDFH VWUXFWXUH FRKHVLYH GHYLFHV SOD\ VLJQLILFDQW UROHV LQ FUHDWLQJ VXFK XQLW\ IRU WKH EHQHILW RI D KHDUHU 7KHVH XQLWV DUH VKRZQ WR EH RUDO SDUDJUDSKV

PAGE 9

&+$37(5 ,1752'8&7,21 *HQHUDO &RPPHQWV 7KLV GLVVHUWDWLRQ GHVFULEHV WKH GLVFRXUVH IXQFWLRQV RI VHYHUDO OLQJXLVWLF VWUXFWXUHV IURP D ODUJH VDPSOH RI VSRQWDQHRXV H[SRVLWRU\ GLVFRXUVHV IRU D FURVVVHFWLRQ RI LQIRUPDQWV IURP D VPDOO (DVW 7HQn QHVVHH KLOO FRPPXQLW\ 7KH FRPPXQLW\ :KLWH 3LQH LV YLHZHG DV W\n SLFDOO\ 6RXWKHUQ $SSDODFKLDQ 7KLV GLVVHUWDWLRQ WKXV FRQWULEXWHV WR ERWK GLVFRXUVH DQDO\VLV DQG 6RXWKHUQ $SSDODFKLDQ VWXGLHV 7KLV VWXG\ LV EDVHG RQ D VHW RI IRUW\ LQWHUYLHZV FRQGXFWHG E\ WKH UHVHDUFKHU EHWZHHQ 'HFHPEHU DQG )HEUXDU\ DQG DYHUDJLQJ VOLJKWO\ PRUH WKDQ DQ KRXU HDFK LQ OHQJWK IRUW\ILYH KRXUV WRWDOf 7KH LQWHUYLHZV FRQVLVWHG RI D VPDOO FRUH RI TXHVWLRQV DQG ZHUH GHn VLJQHG WR HOLFLW ODUJH DPRXQWV RI H[SRVLWRU\ H[SODQDWRU\ DQG GHVFULSn WLYHf GLVFRXUVH IURP WKH LQIRUPDQWV LQ WKH IRUP RI VSRQWDQHRXV PRQRn ORJXHV 6XEVHTXHQWO\ WKH LQWHUYLHZV ZHUH WUDQVFULEHG RUWKRJUDSKLFDOO\ DQG FRQVWLWXWH D SDJH W\SHG FRUSXV IURP ZKLFK GDWD LQ WKLV GLVn VHUWDWLRQ DUH WDNHQ /DQJXDJH DV D VRFLDO LQVWUXPHQW FRQVLVWV RI D VHW RI V\VWHPDWL] DEOH SDWWHUQV RI VRFLDO EHKDYLRU 7KHVH SDWWHUQV DOWKRXJK SUHVXPHG WR EH UHSHWLWLYH DQG V\VWHPDWL]DEOH RQ DOO OHYHOV KDYH EHHQ ODUJHO\ LJQRUHG IRU (QJOLVK DW OHYHOV DERYH WKDW RI WKH VHQWHQFH 7KH

PAGE 10

HVVHQWLDO FODLP RI WKLV GLVVHUWDWLRQ LV WKDW RUDO GLVFRXUVH VWUXFWXUH PXVW EH FRQVLGHUHG SULPDU\ WR ZULWWHQ GLVFRXUVH D SULQFLSOH ZKLFK KDV ORQJ EHHQ D[LRPDWLF IRU RWKHU OHYHOV RI OLQJXLVWLF GHVFULSWLRQ %ORRPILHOG IIf ,Q VWXG\LQJ RUDO GLVFRXUVH OLQJXLVWV KDYH KHUHWRIRUH GHDOW ZLWK KLJKO\ IRUPXODUL]HG W\SHV IRONWDOHV DQG RWKHU QDUUDWLYHVf LQ (QJOLVK DQG QRW ZLWK VSRQWDQHRXV H[SRVLWRU\ GLVFRXUVH 7KLV VWXG\ LV EDVHG RQ WKH SUHPLVH WKDW VSHHFK LV KLHUDUFKLFDO DV ZHOO DV OLQHDU LQ VWUXFWXUH WKDW LW KDV LQ RWKHU ZRUGV VWUXFn WXUDO XQLWV ODUJHU WKDQ WKH VHQWHQFH DQG WKDW LW KDV VWUXFWXUHV ZKRVH GRPDLQV H[WHQG WR JURXSV RI VHQWHQFHV )XUWKHU LW OHDGV WR WKH K\SRWKHVLV WKDW VSHHFK H[SRVLWRU\ LQ WKLV FDVHf KDV GHVFULEDEOH SDUDJUDSK VWUXFWXUH 2UDO SDUDJUDSKV PD\ EH YLHZHG DV KDYLQJ WKUHH GLIIHUHQW NLQGV RI VWUXFWXUH SKRQRORJLFDO JUDPPDWLFDO DQG OH[HPLF .ODPPHU f 7KLV VWXG\ H[DPLQHV WKHLU JUDUPLDWLFDO VWUXFWXUH DQG LWV VHFRQG K\SRWKn HVLV LV WKDW WKH JUDPPDWLFDO VWUXFWXUH RI RUDO H[SRVLWRU\ SDUDJUDSKV LV RUJDQL]HG E\ FHUWDLQ VXUIDFH VWUXFWXUH FRKHVLYH GHYLFHV DV GHVn FULEHG E\ /RQJDFUH DQG /HYLQVRKQ f ,W LQYHVWLJDWHV WKLV K\SRWKn HVLV E\ H[DPLQLQJ WKH IXQFWLRQVf DQG GLVWULEXWLRQ RI WKH IROORZLQJ GHYLFHV f ,QWURGXFHUV RI WKHPHV LQWR WKH VWUHDP RI GLVFRXUVH 6XFK LQWURGXFHUV LQFOXGH OHIW GLVORFDWLRQ DV LQ 0\ PRWKHU VKHnV D JUHDW FRRNf H[LVWHQWLDOV DV 7KHUHnV D PDQ KHUH WR VHH \RXf LW FOHIWV DV ,W ZDV P\ EURWKHU ZKR FDOOHGf DQG :+FOHIWV DV :KDW GLG ZDV WR FRPSOHWHO\ VWULNH RXWf f 'HLFWLFV SRLQWLQJ ZRUGV VXFK DV WKDW DQG WKLVf ERWK

PAGE 11

FDWDSKRULF IRUZDUGSRLQWLQJf DQG DQDSKRULF EDFNZDUGSRLQWLQJf 6WUXFWXUHV H[DPLQHG DUH WKDWH[SWUDSRVLWLRQ DV f7KDW LV JRRG WKDW -RKQ ILQDOO\ OHIWf LGHQWLI\LQJ VHQWHQFHV DV f7KDWnV ZKDW PHDQWf DQG SHDN VHQWHQFHV DV 7KDWnV WKH EHVW WKLQJ LV WR OHDYH HDUO\f f,QWURGXFHUV DQG FRQMXQFWLRQV DQG EXW QRZ WKHQ fOLNH DQG RWKHUVf ZKHQ WKH\ DFFRPSDQ\ OHIW GLVORFDWLRQ DQG DVVLVW LQ LQWURGXFLQJ WKHPHV $OO GHYLFHV DUH H[DPLQHG ZLWK WKH YLHZ RI LGHQWLI\LQJ WKHLU W\SLFDO IXQFWLRQVf DQG GLVWULEXWLRQ ZLWKLQ JUHDWHU GLVFRXUVH EORFN VWUXFWXUHV +HQFH WKH\ DUH TXDQWLILHG QXPHULFDOO\ ZKHQHYHU SRVVLEOH 7KLV LV WR LQVXUH WKDW WKH GDWD DUH QRW FKDQFH ILQGLQJV RI UDQGRP REVHUYDWLRQ $OVR WR LQVXUH WKH QDWXUH RI WKH GDWD JDWKHUHG ILYH GLIIHUHQW SDUDPHWHUV DUH FRQWUROOHG LQ WKLV VWXG\ f 7KH VSHDNHU FRQWH[W D UHSUHVHQWDWLYH VDPSOH RI IRUW\ LQIRUn PDQWV ZDV LQWHUYLHZHGf f 7KH IUHTXHQF\ FRQWH[W GDWD DUH TXDQWLILHG ZKHQHYHU SRVVLEOHf f 6RFLDO FRQWH[W D PDWWHU RI FRQWUROOLQJ WKH VSHHFK VW\OH HOLFLWHG WKH ILHOGZRUNHUUHVHDUFKHU DVVXPHG RQH UROH ZLWK DOO LQIRUn PDQWVf f 7DVN FRQWURO LQWHUYLHZ ZDV FRQWUROOHG WR HOLFLW RQO\ H[SODQDn WLRQV DQG GHVFULSWLRQV IURP LQIRUPDQWVf f /LQJXLVWLF FRQWH[W WKH VHQWHQFH DQG GLVFRXUVH SRVLWLRQ RI DOO GDWD ZDV WDNHQ LQWR DFFRXQWf )RU WKH PRVW SDUW H[FHSW WKH IRXUWK DQG LQ SDUW WKH ILIWKf WKHVH KDYH EHHQ FRQWUROOHG LQ WKH VWXGLHV RI /DERY /DERY

PAGE 12

f KDV FRQWUROOHG WKH ILUVW WZR E\ DGRSWLQJ UDQGRP VDPSOLQJ WHFKQLTXHV DQG TXDQWLWDWLYH DQDO\VLV RI KLV GDWD +H KDV FRQWUROOHG WKH WKLUG E\ GHOLEHUDWHO\ HOLFLWLQJ VHYHUDO GLIIHUHQW VSHHFK VW\OHV IRXU LQ KLV 1HZ
PAGE 13

DQG D PDMRULW\ RI LWV FLWL]HQV DUH VXSSRUWHG E\ HPSOR\PHQW LQ IDFWRn ULHV ZKLFK ORFDWHG LQ WKH VXUURXQGLQJ DUHD DIWHU WKH 6HFRQG :RUOG :DU EHFDXVH RI WKH ODERU VXUSOXV DQG WKH ORZ WD[HV 7KH IDFWRULHV UHn WDUGHG WKH HPLJUDWLRQ VR GLVDVWURXVO\ SUHYDOHQW WKURXJKRXW (DVW 7HQn QHVVHH DV ZHOO DV RWKHU DUHDV RI 6RXWKHUQ $SSDODFKLD LQ WKH SDVW WZR JHQHUDWLRQV DQG DWWUDFWHG ZRUNHUV IURP WKH IRRWKLOO DQG PRXQWDLQ DUHDV IDUWKHU HDVW VR WKDW :KLWH 3LQHnV SRSXODWLRQ KDV FRQWLQXHG WR JURZ VWHDGLO\ VLQFH WKH ZDU IURP LQ WR LQ WR LQ WRf§XQRIILFLDOO\f§ LQ f ,W UHPDLQV KRZHYHU D FR]\ FORVHNQLW PDQ\ ZRXOG VD\ FODQQLVKf FRPPXQLW\ GHVSLWH WKH LQn IOX[ RI QHZ UHVLGHQWV LQ UHFHQW \HDUV 1HYHU KDV LW QHHGHG PRUH WKDQ RQH VWRSOLJKW DQG LWV PD\RU VWLOO GXWLIXOO\ DFFHSWV KLV DQQXDO RQH KXQGUHG ILIW\ GROODU FKHFN IRU KLV WKLUW\ KRXU D ZHHN MRE ,Q WKLV VWXG\ :KLWH 3LQH GHVLJQDWHV WKH :KLWH 3LQH FRPPXQLW\ FRQVLVWLQJ RI WKH WRZQ DQG DGMDFHQW QHLJKERUKRRGV DQG KDYLQJ D SRSXODn WLRQ RI DSSUR[LPDWHO\ SHUVRQV ,W LV WKH :KLWH 3LQH FRPPXQLW\ ZKHUHLQ WKH IRUW\ LQWHUYLHZV IRU WKLV VWXG\ ZHUH FRQGXFWHG :KLWH 3LQH UHIHU WR WKH PDS RQ SDJH f OLHV DW WKH H[WUHPH QRUWKHDVWHUQ FRUQHU RI -HIIHUVRQ &RXQW\ IRUW\ PLOHV HDVW QRUWKHDVW RI .QR[YLOOH DQG ZLWKLQ YLHZ RI WKH *UHDW 6PRN\ 0RXQWDLQV 6HYHQ PLOHV QRUWK RQ +LJKZD\ ( LV 0RUULVWRZQ SRSXODWLRQ f DQG ILYH PLOHV VRXWK LV &RFNH &RXQW\ LQIDPRXV IRU LWV UXPUXQQLQJ LQ WKH nV DQG VRPHWLPHV FDOOHG WKH 0RRQVKLQLQJ &DSLWDO RI WKH :RUOG GXUn LQJ WKDW HUDf (DVW RI :KLWH 3LQH DUH LWV VLVWHU DQG HUVWZKLOH ULYDO EXW LQFRUSRUDWHG FRPPXQLW\ /HDGYDOH DQG WKH 1ROLFKXFN\ 5LYHU VRXWK DQG ZHVW LV 'RXJODV /DNH D 7HQQHVVHH 9DOOH\ $XWKRULW\ UHVHUYRLU

PAGE 14

)LJXUH -HIIHUVRQ &RXQW\ 7HQQHVVHH 6RXUFH (DVW 7HQQHVVHH 'HYHORSPHQW 'LVWULFWf

PAGE 15

-HIIHUVRQ &RXQW\ SRSXODWLRQ SRSXODWLRQ f OLHV LQ WKH ULGJH DQG YDOOH\ VHFWLRQ RI WKH *UHDW 9DOOH\ RI (DVW 7HQn QHVVHH EHWZHHQ WKH &XPEHUODQG 3ODWHDX DQG WKH %OXH 5LGJH 7RGD\ LW LV VDQGZLFKHG EHWZHHQ WKH 79$ UHVHUYRLUV &KHURNHH /DNH WKH GDPPHG +RO VWRQ 5LYHUf DQG 'RXJODV /DNH WKH GDPPHG )UHQFK %URDG 5LYHUf EXLOW LQ WKH nV 7KH FRXQW\ LV RQH RI WKH HDUOLHVW VHWWOHG DUHDV RI ZKDW ZDV WR EHFRPH WKH VWDWH RI 7HQQHVVHH 7KH +ROVWRQ ZKLFK IRUPHG WKH FRXQW\nV QRUWKHUQ ERUGHU EURXJKW VHWWOHUV LQ IURP WKH QRUWKHDVW IURP XSSHU (DVW 7HQQHVVHH DQG IURP 9LUJLQLD WKURXJK WKH 6KHQDQGRDK 9DOOH\f ZKLOH WKH )UHQFK %URDG ZKLFK ODUJHO\ GHWHUPLQHG -HIIHUVRQ &RXQW\nV VRXWKHUQ H[WHQW DQG ZKLFK IORZV ZHVW IURP $VKHYLOOH DIWHU IORZLQJ QRUWK URXWHG QHZFRPHUV IURP WKH HDVW LQWR WKH DUHD 0DQ\ RI WKHVH KDG UHFHLYHG GLVSHQVDWLRQV RI ODQG IRU 5HYROXWLRQDU\ VHUYLFHV 7KH FRXQW\nV ILUVW ZKLWH UHVLGHQWV DUULYHG LQ WKLUWHHQ \HDUV EHIRUH 7HQQHVVHH EHFDPH D VWDWH 7KH FRXQW\ VHDW 'DQGULGJH ZDV LQFRUSRUDWHG LQ 6HWWOHPHQW LQ WKH :KLWH 3LQH YLFLQLW\ JRHV EDFN QHDUO\ WZR KXQn GUHG \HDUV DV VKRZQ E\ WKH IDFW WKDW WZR RI LWV SUHVHQWGD\ FKXUFKHV :HVWPLQLVWHU 3UHVE\WHULDQ DQG %HWK &DU 0HWKRGLVW ZHUH ILUVW RUJDQL]HG LQ $OWKRXJK WKH WRZQ RI :KLWH 3LQH ZDV QRW LQFRUSRUDWHG DQG QDPHG XQWLO LW DFKLHYHG WKH VWDWXV RI D FRPPXQLW\ DQG WKH FKDUn DFWHU RI D WRZQ DQG ZDV FDOOHG 'DQGULGJH &URVVLQJf ZKHQ D UDLOURDG VWRS DQG D SRVW RIILFH ZHUH HVWDEOLVKHG WKHUH VKRUWO\ DIWHU WKH &LYLO :DU $ QXPEHU RI WRGD\nV :KLWH 3LQH UHVLGHQWV FDQ WUDFH EDFN WKHLU DQFHVWULHV

PAGE 16

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n IRUH :KLWH 3LQH LV SHUKDSV PRUH W\SLFDO RI 6RXWKHUQ $SSDODFKLD EHFDXVH LW LV QHLWKHU KRPRJHQHRXV QRU LVRODWHG 7R WKH RXWVLGHU :KLWH 3LQH VHHPV D VORZSDFHG DQG XQDVVXPLQJ VPDOO WRZQ DOO RI ZKRVH UHVLGHQWV NQRZ RQH DQRWKHU ,W VHHPV WR EH D WRZQ ZLWK IHZ SUHWHQWLRQV 2Q D QRW DW\SLFDO GD\ RQH FDQ JHW D JRRG IODYRU RI WKH WRZQnV SHUVRQDOLW\ E\ YLVLWLQJ WKH WRZQnV FHQWHU RI DFn WLYLW\ DQG RQH RI LWV FKLHI SXEOLF IRUXPV WKH GUXJVWRUH DW 0DLQ DQG 0DSOH ZKHUH WKH PD\RU WKH FKLHI RI SROLFH RQH RU WZR FLW\ DOGHUPDQ WKH WRZQnV SK\VLFLDQ DQG D ORFDO PLQLVWHU KREQRE RYHU FRIIHH 6XFK DQ DSSHDUDQFH ZRXOG EH UDWKHU GHFHSWLYH IRU LQ UHFHQW \HDUV :KLWH 3LQH KDV HQWHUHG D SHULRG RI JUHDW WUDQVLWLRQ VRFLDOO\ DQG HFRn QRPLFDOO\ ,W KDV DOVR FRQVLGHUDEO\ FKDQJHG LQ WKH ZD\ LW YLHZV LWn VHOI WKH QHDU GRXEOLQJ RI WKH WRZQnV SRSXODWLRQ VLQFH WKURXJK DQQH[DWLRQ DQG LPPLJUDWLRQ ZRXOG VXJJHVW WKLV DQ\ZD\f /LIH KDV EHn FRPH PRUH FRPSOH[ IRU LWV UHVLGHQWV DV WKH FKDQJHV KDYH FRPH )RU VXFK D ORQJ WLPH :KLWH 3LQH UHVLVWHG FKDQJH RI DQ\ NLQG WKDW PDQ\ RI

PAGE 17

LWV FLWL]HQV IHHO WKDW WKH FXUUHQW SDFH RI FKDQJH LQ KRXVLQJ LQ WKH HFRQRPLF SUHVVXUHV RQ WKH WRZQ DQG LQ WKH DUULYDO RI QHZ SHRSOH GHn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nV D IHHOLQJ RI FORVHQHVV DQG FRQQHQWXLW\ >VLF@ ,I FRXOG GUDZ \RX D SLFWXUH ZRXOG GUDZ \RX D ELJ EDOO RI SHRSOH DOO ZUDSSHG XS WRJHWKHU OLNH ZRUPV
PAGE 18

SRVVLEOH $V RQH VL[W\\HDUROG IDUPHU ZKR ZLWQHVVHG WKH UHORFDWLRQ RI WKH WKLUWLHV SXW LW WKH ODQGRZQHUV ZHUH DJDLQVW LW 7KH\ GLGQnW ZDQW XK WKH\ GLGQnW ZDQW WR PRYH RXW2I FRXUVH ZH UHDOL]H QRZ WKDW 79$ LV RXU RXU PDLQ XK VRXUFH RI HQHUJ\ DQG SRZHU DQG VR GRQnW NQRZ ZKDW ZHnG GR ZLWKRXW LW 79$ WKURXJK LWV ZDWHU PDQDJHPHQW DQG LWV SURYLVLRQ RI HOHFWULFLW\ VHW WKH VWDJH IRU WKH HQVXLQJ HFRQRPLF GHYHORSPHQW RI WKH DUHD IRU WKH SURILWDELOLW\ RI DJULFXOWXUH DQG HVSHFLDOO\ IRU WKH FRPLQJ RI LQGXVn WU\ 6LQFH WKH ZDU VHYHUDO GR]HQ PDMRU IDFWRULHV KDYH UHORFDWHG WR (DVW 7HQQHVVHH 8QWLO DIWHU WKH 6HFRQG :RUOG :DU DQG WKH ORFDWLQJ RI WKH IDFWRn ULHV :KLWH 3LQH ZDV YHU\ PXFK DQ LVRODWHG IDUPLQJ FRPPXQLW\ ,WV VSKHUH RI LQWHUHVW KDUGO\ H[WHQGHG EH\RQG LWV ERXQGDULHV $ KDOI GR]HQ VWRUHV SURYLGHG WKH QHFHVVLWLHV DQG WKHUH ZDV OLWWOH SUHVVXUH WR GHn YHORS WKH WRZQ UHVLGHQWLDOO\ FRPPHUFLDOO\ RU LQGXVWULDOO\ 7KH VHQn WLPHQW ZDV WR NHHS WKH WRZQ DV TXLHW DV SRVVLEOH DQG WR NHHS DQ\ FRQn VFLRXV GHYHORSPHQW RXW 7KLV LV KRZ WKH VWDWH RI DIIDLUV LQ :KLWH 3LQH UHPDLQHG WRR XQWLO RQO\ D IHZ \HDUV DJR (YHQWXDOO\ WKH SUHRFFXSDn WLRQ ZLWK SURKLELWLQJ GHYHORSPHQW ZDV EXIIHWHG E\ GHPDQGV IRU PRUH KRXVLQJ IRU UHFUHDWLRQDO IDFLOLWLHV DQG IRU SODQQLQJ LQ JHQHUDO VR WKH WRZQ KDV KDG WR XQGHUJR FRQVLGHUDEOH JURZLQJ SDLQV LQ PHHWLQJ WKHVH GHPDQGV 7KHVH SDLQV ZLOO SHUVLVW IRU D ORQJ WLPH EHFDXVH WKH SUHVn VXUHV SULPDULO\ IURP WKH \RXQJHU JHQHUDWLRQ ZLOO FRQWLQXH 7KH PRVW SURIRXQG GHYHORSPHQW LQ :KLWH 3LQH RYHU WKH SDVW WKLUW\ \HDUV KDV EHHQ LWV HYROXWLRQ LQWR D EHGURRP RU DOPRVW VWULFWO\

PAGE 19

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f DQG PRUH WKDQ OLNHO\ DQ\ VRFLDO JHWWRJHWKHU RU PHHWLQJ ZLOO EH FKXUFKVSRQVRUHG $OWKRXJK WKHUH DUH VHYHUDO RUJDQL]HG FLYLF JURXSV 5XULWDQV /LRQV %HWD 6LJPD 3KLf LQ WRZQ WKHUH LV OLWWOH UHJXODU VRFLDO DFWLYLW\ 7KH RFFDVLRQDO VSHFLDO HYHQW FKXUFK UHYLYDO SROLWLFDO FDQGLGDWH VSHHFKf PD\ DWWUDFW D JURXS RI FLWL]HQV DQG WKH DQQXDO 3LQH )HVWLYDO LV DQ HYHQW WKDW PHHWV VRPH RI WKH VRFLDO QHHGV RI WKH WRZQ 7KH 3LQH )HVWLYDO VSRQVRUHG E\ WKH ORFDO %HWD 6LJPD 3KL DQG EHJXQ LQ LV D RQHGD\ FROOHFWLRQ RI VKRZV FRQWHVWV DQG GLVSOD\V KHOG RQ -XO\ HDFK \HDU 7KH IHVWLYDO KDV EHFRPH WKH IRFDO HYHQW RI WKH FRPPXQLW\nV OLIH EHFDXVH LW LV WKH RQH RFFDVLRQ ZKHQ D PDMRULW\ RI LWV SHRSOH WDNH SDUW 7KH IHVWLYDO LQWHJUDWHV WKH FRPPXQLW\ DQG JLYHV LW D JUHDWHU VHQVH RI VHOILGHQWLW\ WKDQ LW KDV HYHU KDG EHFDXVH LW LV KHDn YLO\ SDWURQL]HG E\ SHRSOH IURP VXUURXQGLQJ FRXQWLHV DQG FRPPXQLWLHV $OWKRXJK WKHUH LV WUHPHQGRXV VRFLRHFRQRPLF GLVSDULW\ EHWZHHQ WKH YHU\ ULFK DQG WKH YHU\ SRRU LQ WKH FRPPXQLW\ RQH ILQGV OLWWOH RYHUW UHVLGHQWLDO VHJUHJDWLRQ E\ HFRQRPLF VWDWXV $V WKH WKLUW\QLQH\HDU

PAGE 20

ROG IHPDOH TXRWHG HDUOLHU SXW LW WKHUH DUH YHU\ YHU\ ZHDOWK\ SHRSOH LQ WKLV WRZQ DQG WKHUH DUH YHU\ YHU\ SRRU SHRSOH LQ WKLV WRZQ %XW WR VDYH P\ OLIH FDQfW WHOO \RX ZKDW WKH GLIIHUHQFH LV PHDQ FDQnW SRLQW WR RQH SHUVRQ DQG VD\ 2ND\ WKLV LV D SRRU SHUVRQ DQG WKLV LV D ZHDOWK\ SHUVRQf 7KH\ WKH\ EOHQG 7KLV VHQWLPHQW HYLGHQFHV WKH V\PELRVLV UHIHUUHG WR HDUOLHU 2QH PDMRU GLYLVLRQ LQ WKH FRPPXQLW\ LV WKDW EHWZHHQ WKH PLGGOH DQG ROGHU JHQHUDWLRQV RQ WKH RQH KDQG DQG D ODUJH SDUW RI WKH \RXQJHU JHQHUDWLRQ RQ WKH RWKHU 7KLV GLYLVLRQ LV D SURGXFW RI WKH ULVLQJ H[n SHFWDWLRQV RI WKH WRZQ UHIHUUHG WR DERYH ,Q JHQHUDO WKH FRPPXQLW\ LV PRUH RSWLPLVWLF DERXW LWV IXWXUH WKDQ D JHQHUDWLRQ DJR EHFDXVH RI LPn SURYHG ORFDO HGXFDWLRQ $ FRPSUHKHQVLYH KLJK VFKRRO KDV EHHQ DGGHG DQG D MXQLRU FROOHJH KDV EHHQ RSHQHG ILYH PLOHV XS WKH URDG $ PRUH GLYHUn VLILHG MRE PDUNHW KDV DOVR GHYHORSHG %XW PRVW \RXWKV ZLWK SURIHVVLRQDO DQG FDUHHU DVSLUDWLRQV VWLOO VHH LQDGHTXDWH SURVSHFWV LQ WKH QHDUE\ DUHD 0DQ\ RI WKHP RQFH WKH\ OHDYH :KLWH 3LQH DUH HPEDUUDVVHG WR EH IURP WKH WRZQ 2IWHQ :KLWH 3LQH LV IRU WKHP D SODFH WR HVFDSH D SODFH WKDW FDQ DQG GRHV WUDS LWV DPELWLRXV \RXWK 2QH WZHQW\QLQH\HDUROG PDOH FKDUDFWHUL]HG WKH WRZQnV VXEWOH SUHVVXUHV QRW WR DVSLUH PRVW RI WKH SHRSOH SULRU WR XK WKH VL[WLHV ZKHQ JRW RXW WKH\ WKH\ ZHUH VHWWOHG 7KH LGHD ZDV WR ZKHQ \RX JRW RXW RI WKDW KLJK VFKRRO ZDV WR JHW PDUULHG FDXVH PDUULDJH ZDV VWDELn OL]DWLRQ
PAGE 21

RI LWV FROOHJHHGXFDWHG FLWL]HQV VHWWOH LQ WRZQ GHVSLWH LWV ODFN RI RSSRUWXQLWLHV 2QH WZHQW\ILYH\HDUROG PDOH FROOHJH VHQLRU SXWV LW WKLV ZD\ ,WnV KDUG WR VD\ \RX NQRZ ZKHQ WKH VHWWOLQJ GRZQ FRPHV \RX NQRZ ZKHQ ZKHQ PLJKW VHWWOH GRZQ PLJKW VHWWOH GRZQ QH[W \HDU \RX NQRZ RU HOVH LW PLJKW EH ILYH PRUH \HDUV IURP QRZ PD\EH ORQJHU %XW OLNH WR WKLQN WKDW ,nG FRPH EDFN WR WKLV WRZQ \RX NQRZ , WKLQN ULJKW QRZ WKDW LWnV VWLOO D IDLUO\ JRRG WRZQ ZDQW WR SODQW \RXU URRWV 2WKHUV FKRRVH WR UHPDLQ LQ WKH WRZQ EHFDXVH RI D IHHOLQJ RI EHORQJLQJ WR WKH FRPPXQLW\ EHFDXVH WKH\ YDOXH WKH FRKHVLYHQHVV DOWKRXJK QRW DV WLJKW DV LW RQFH ZDVf RI :KLWH 3LQH DQG OLYH ZLWKRXW PDQ\ RI WKH DPHQLn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nV JURZWK DQG H[SDQVLRQ 7KH FROOHJH VHQLRU TXRWHG DERYH VD\V UHJDUGLQJ SURJUHVV SURJUHVV LV RQ LWV ZD\ ,WnV RQ LWV ZD\ \RX NQRZ EXW IRU VRPH UHDVRQ FDQnW EXW IHHO D NLQG RI UHPRUVH \RX NQRZ LWnV D UHDFWLRQ WKDW UHDOO\ GR IHHO VDG VRPHWLPHV DQG UHJUHW DQG

PAGE 22

DQG IHHO WKDW SURJUHVV LV QRW LV QRW DV JRRG PD\EH DV D ORW RI SHRSOH WKLQN LW LV ,W KDV LWV GLVDGYDQWDJHV DV ZHOO DV LWV DGn YDQWDJHV \RX NQRZ 7KH HIIHFW RI :KLWH 3LQHnV UHVLVWDQFH WR JURZWK DQG LWV VHQVH RI FRPPXQLW\ LV WKDW LW LV YHU\ VORZ WR DFFHSW QHZ UHVLGHQWV ZKLFK FDXVHV WKH RXWVLGHU WR YLHZ LWV SHRSOH DV FODQQLVK :LWK WKH DFFHOHUDWLQJ LPn PLJUDWLRQ LQWR :KLWH 3LQH KRZHYHU RI SHRSOH ZLWK D GLYHUVLW\ RI EDFNn JURXQGV WKH UHVLGHQWV KDYH KDG WR OHDUQ WR DVVLPLODWH QHZ QHLJKERUV PRUH TXLFNO\ 7KH PLQLVWHU RI WKH WRZQnV ODUJHVW %DSWLVW FKXUFK PRYHG WR :KLWH 3LQH IURP .HQWXFN\ LQ +H GHVFULEHV WKH FRPPXQLW\fV UHn FHSWLRQ RI QHZ SHRSOH DV IROORZV WKLQN WKH SHRSOH LQ :KLWH 3LQH DUH YHU\ VORZ WR DFFHSW \RX ZLWKLQ WKH FRPPXQLW\ 7KH\nUH YHU\ IULHQGO\ EXW D GLVWDQW IULHQGOLQHVV 8K WKH\ NHHS \RX DW D GLVWDQFH QRW RQO\ ZKHQ \RX PRYH EXW WKURXJKRXW \RXU VWD\ LQ :KLWH 3LQH WR VRPH GHn JUHH 8K ILQG WKH SHRSOH LQ :KLWH 3LQH YHU\ YHU\ IULHQGO\ RXWZDUGO\ EXW XK QRW DFURVV WKH ERDUG DV LQ VRPH FRPPXQLWLHV 7KH\ WHQG WR VWD\ ZLWKLQ IDPLO\ JURXSV RU OLWWOH FOLTXHV RI WKUHH RU IRXU IDPLOLHV 7KHUH VHHPV WR EH QR EURDG EDVH RI RI DFFHSWDQFH 7KLV UHOXFWDQFH WR DFFHSW QHZFRPHUV PDQLIHVWV WZR VDOLHQW WUDLWVf§WUDn GLWLRQDOLVP DQG LQGLYLGXDOLVPf§ORQJ FRQVLGHUHG FKDUDFWHULVWLF RI 6RXWKn HUQ $SSDODFKLDQ FXOWXUH DV SRLQWHG RXW E\ )RUG f /DWHU LQ WKLV FKDSWHU ZH H[DPLQH IRXU EDVLF WUDLWV GLVFXVVHG E\ )RUG DQG VHH KRZ WKH\ DSWO\ FKDUDFWHUL]H :KLWH 3LQH DV DQ $SSDODFKLDQ FRPPXQLW\ %XW ILUVW ZH VXUYH\ WKH HFRQRPLF DQG UHOLJLRXV VLGHV RI :KLWH 3LQHnV OLIH DQG WKHQ SXW WKLV VWXG\ LQWR WKH SHUVSHFWLYH RI RWKHUV RQ $SSDODFKLDQ (QJOLVK

PAGE 23

7KH (FRQRPLF /LIH RI :KLWH 3LQH :KLWH 3LQH KDV PDGH VLJQLILFDQW HFRQRPLF VWULGHV LQ WKH SDVW WZR GHFDGHV DQG KDV XQGHUJRQH D WKRURXJK HFRQRPLF WUDQVIRUPDWLRQ LQ WKH SDVW JHQHUDWLRQ EXW LW UHPDLQV LQ PDQ\ LPSRUWDQW ZD\V XQGHYHORSHG 7KH SHUFHQWDJH RI LWV SRSXODWLRQ EHORZ WKH SRYHUW\ OLQH f LV ZHOO DERYH WKH QDWLRQDO DYHUDJH DSSUR[LPDWHO\ f +RVW RI LWV FLWL]HQV PXVW ORRN EH\RQG WKH FLW\ OLPLWV IRU WKHLU OLYHOLKRRGV )RUWXQDWHO\ WKH VXUURXQGLQJ WHQ PLOH UDGLXV RI :KLWH 3LQH KDV EHHQ DEOH WR SURYLGH FRQVLGHUDEOH HPSOR\PHQW RSSRUWXQLWLHV IRU WKH ODVW WKUHH GHFDGHV 7KLV HPSOR\PHQW KDV QRW RQO\ VWHPPHG EXW DOVR ODUJHO\ UHYHUVHG WKH VHULRXV SUREOHP RI HPLJUDWLRQ RI WKH ODERU IRUFH ZKLFK SODJXHG (DVW 7HQQHVVHH DQG :KLWH 3LQH LQ WKH nV nV DQG fV DOn WKRXJK LW ZDV QRW TXLWH DV VHYHUH DV HOVHZKHUH LQ $SSDODFKLD HVSHn FLDOO\ LQ WKH FRDO PLQLQJ UHJLRQV RI .HQWXFN\ DQG :HVW 9LUJLQLD 7KLV UHYHUVDO KDV ODUJHO\ EHHQ DFFRPSOLVKHG WKURXJK WKH EHQHILWV DFFUXLQJ IURP WKH GHYHORSPHQW RI 79$ ,Q WKH nV -HIIHUVRQ &RXQW\nV HPLJUDn WLRQ UDWH VXUSDVVHG WHQ SHUFHQW RI LWV HOLJLEOH DGXOW ZRUN IRUFH DQG LQ WKH nV LW ZDV DOPRVW DV KLJK %XW LQ WKH nV LPPLJUDQWV EHJDQ WR RXWQXPEHU HPLJUDQWV DQG WKH PLJUDWLRQ SDWWHUQV XQGHUZHQW D GUDPDWLF WXUQDURXQG ,Q WKH nV WKH FRXQW\ DQG HVSHFLDOO\ :KLWH 3LQH KDYH VHHQ D VLJQLILFDQW LQIXVLRQ RI QHZ UHVLGHQWV DQG D GHFUHDVH LQ HPLJUDWLRQ (PSOR\PHQW SURVSHFWV IRU LQFRPLQJ PHPEHUV RI WKH MRE PDUNHW DOWKRXJK VWLOO OLPLWHG DUH EHWWHU WKDQ WZHQW\ RU WKLUW\ \HDUV DJR 7KH GLVORFDWLRQV EURXJKW DERXW E\ WKH HPLJUDWLRQ RYHU WKH \HDUV KDYH OHIW WKHLU PDUNV WKRXJK :KLWH 3LQH KDV ORVW PXFK RI LWV %ODFN

PAGE 24

SRSXODWLRQ RQO\ SHUFHQW RI LWV SRSXODWLRQ ZDV %ODFNf DQG PDQ\ IDPLOLHV KDYH EHHQ VSOLW EHFDXVH WKH FKLOGUHQ KDYH KDG WR PLn JUDWH QRUWK WR ILQG MREV 7KLV QHHG WR OHDYH KRPH IRU HPSOR\PHQW ZDV DJJUDYDWHG IRU PDQ\ QDWLYHV RI (DVW 7HQQHVVHH DQG 6RXWKHUQ $SSDn ODFKLD E\ WKHLU LQDELOLW\ WR DGMXVW WR WKH XUEDQ 1RUWK DQG WKHLU IRQG DWWDFKPHQW WR KRPH LQ WKH KLOOV ,QVWDQFHV RI WKHLU FKRRVLQJ WR UHWXUQ WR FHUWDLQ XQHPSOR\PHQW RU XQGHUHPSOR\PHQW LQ WKH KLOOV KDYH EHHQ IUHTXHQWO\ GRFXPHQWHG DV E\ +LFNV f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n ELOLW\ RI FKHDS HOHFWULFLW\ %\ PRUH WKDQ KDOI SHUFHQWf RI :KLWH 3LQHnV HPSOR\HG SRSXODWLRQ ZDV LQ PDQXIDFWXULQJ HLJKW WLPHV DV PDQ\ DV LQ DJULFXOWXUH IRUHVWU\ DQG ILVKHULHV FRPELQHG SHUFHQWf ,Q WKH VDPH \HDU WUDGH VHUYLFH DQG ILQDQFH VXSSRUWHG DQRWKHU SHUFHQW RI :KLWH 3LQH &RQVWUXFWLRQ HPSOR\HG SHUFHQW PLQLQJ SHUFHQW DQG DOO RWKHU W\SHV RI HPSOR\PHQW SHUFHQW 7KH PRYHn PHQW RI ZRUNHUV LQWR PDQXIDFWXULQJ KDV HQWDLOHG WKH GLVVROXWLRQ RI WKH

PAGE 25

WHQDQW IDUPLQJ V\VWHP DQG WKH GHYHORSPHQW RI PRUH VSHFLDOL]HG DJULn FXOWXUH LQ WKH DUHD 7KLV LV QRW WR VD\ WKDW IDUPLQJ LV QR ORQJHU D PDMRU FRQFHUQ WR PRVW RI WKH SHRSOH RI :KLWH 3LQH ,W LV ,W PXVW EH UHPHPEHUHG WKDW PRVW RI LWV FLWL]HQV DUH D JHQHUDWLRQ RU OHVV RII WKH IDUP PDQ\ RI WKHP VWLOO UHOLJLRXVO\ WHQG NLWFKHQ JDUGHQV RI DQ DFUH RU WZR %XW IHZ FLWL]HQV PXVW VWLOO GHSHQG RQ LW DV WKHLU SULPDU\ VRXUFH RI LQFRPH 7KH QHZ VRXUFHV RI LQFRPH WKH IDFWRU\ SD\UROO SULPDULO\ KDYH EURXJKW LQ WKHLU ZDNH SURIRXQG FKDQJHV LQ :KLWH 3LQH DERYH S f 7KH EHWWHU LQFRPH LV PRUH GHSHQGDEOH WKDQ RQH PLJKW GHULYH IURP IDUPn LQJ ,W KDV FDXVHG :KLWH 3LQH WR EHFRPH D EHGURRP FRPPXQLW\ $W WKH VDPH WLPH WKH LPSURYHG VWDQGDUG RI OLYLQJ KDV UDLVHG WKH RSWLPLVP RI :KLWH 3LQHnV FLWL]HQV IRU WKHLU IXWXUH DQG HVSHFLDOO\ IRU WKH IXWXUH RI WKHLU FKLOGUHQ )RU WKRVH ZLVKLQJ WR EUHDN WKH F\FOH RI KDYLQJ WR JR WR ZRUN LPPHGLDWHO\ DIWHU OHDYLQJ SXEOLF VFKRRO WKHUH DUH PRUH RSSRUn WXQLWLHV WKDQ HYHU EHIRUH :LWKLQ WKH SDVW GHFDGH D MXQLRU FROOHJH KDV RSHQHG RQO\ ILYH PLOHV DZD\ DQG PDQ\ RI :KLWH 3LQHnV \RXWK KDYH GHn FLGHG WR XQGHUWDNH VRPH FROOHJH ZRUN UDWKHU WKDQ HQWHU WKH MRE PDUNHW ULJKW DZD\ 7KH DUHDnV HFRQRP\ DOWKRXJK VWLOO QRW SURYLGLQJ VXIILn FLHQW VNLOOHG SRVLWLRQV FRQWLQXHV KHDOWK\ DW WKH VDPH WLPH WKDW :KLWH 3LQH D VHOIVXIILFLHQW FRPPXQLW\ D JHQHUDWLRQ DJR ILQGV LWVHOI PRUH DQG PRUH GHSHQGHQW RQ WKH VXUURXQGLQJ DUHD 7KH 5HOLJLRXV /LIH RI :KLWH 3LQH 7KH FRPPXQLW\ RI :KLWH 3LQH OLHV LQ WKH UHJLRQ RIWHQ UHIHUUHG WR DV WKH %LEOH %HOW VR FDOOHG EHFDXVH PXFK RI LWV SRSXODWLRQ VWLOO

PAGE 26

DGKHUHV WR IXQGDPHQWDOLVW EHOLHIV LQ WKH %LEOH DQG EHFDXVH RI WKH UROH RI LWV FOHUJ\ DV ERWK SUHDFKHUV RI WKH :RUG DQG DV FRPPXQLW\ VSRNHVn PHQ FRPPDQGLQJ SROLWLFDO DQG VRFLDO LQIOXHQFH 7KH FRPPXQLW\ RI :KLWH 3LQH LV W\SLFDO RI WKH UHJLRQ 1RW RQO\ DUH WKH FKXUFKHV E\ IDU WKH PRVW SURPLQHQW LQVWLWXWLRQV LQ WKH FRPPXQLW\ EXW DOVR UHOLJLRXV YDOXHV SHUPHDWH VR WKRURXJKO\ HYHU\ DVSHFW RI LWV OLIH WKDW LW LV VLPSO\ TXLWH LPSRVVLEOH WR GHDO PHDQLQJIXOO\ ZLWK PRVW DVSHFWV RI WKH FRPPXQLW\nV H[LVWHQFH ZLWKRXW WDNLQJ WKHP LQWR FRQVLGHUDWLRQ &KXUFKHV KDYH ORQJ EHHQ QXPHURXV LQ $SSDODFKLD $ UHSRUW RI WKH 8QLWHG 6WDWHV 'HSDUWPHQW RI $JULFXOWXUH UHSRUWHG WKHUH ZHUH LQ DV PDQ\ DV FKXUFKHV IRU HDFK LQKDELWDQWV ,W PLJKW EH WKRXJKW WKDW VXFK D KLJK UDWLR ZRXOG EH DFFRXQWHG IRU E\ WKH IDFW WKDW IHZ SHRSOH FRXOG PRWRU WR FKXUFK ILIW\ \HDUV DJR %XW WKH SUHVHQWGD\ UDWLR LQ :KLWH 3LQH LV WKH VDPH WHQ FKXUFKHV IRU LWV DSSUR[LPDWHO\ LQKDELWDQWV SHU SHRSOHf &KXUFK PHPEHUVKLS LI QRW QHFHVVDULO\ SDUWLFLSDWLRQ LQ FKXUFK DFWLYLWLHV LV DOPRVW UHTXLUHG IRU D :KLWH 3LQH FLWL]HQ 3HUKDSV DV PXFK DV HLJKW\ SHUFHQW RI WKH SRSXODn WLRQ LQ WKH FRPPXQLW\ DUH FKXUFK PHPEHUV 7KH WZR ODUJHVW FKXUFKHV LQ :KLWH 3LQH RQH D 6RXWKHUQ %DSWLVW DQG WKH RWKHU D 0LVVLRQDU\ %DSWLVW KDYH DSSUR[LPDWHO\ RQH WKRXVDQG PHPEHUV EHWZHHQ WKHP DQG WKH RWKHU HLJKW DUH E\ QR PHDQV DOO VPDOO FRQJUHJDn WLRQV %HVLGHV ILYH %DSWLVW FKXUFKHV RI VHYHUDO GLIIHUHQW DIILOLDn WLRQVf WKHUH DUH WZR 0HWKRGLVW WZR 3HQWHFRVWDO DQG RQH 3UHVE\WHULDQ FKXUFK 7KHUH LV QRW D VLQJOH QRQ3URWHVWDQW FKXUFK LQ WKH HQWLUH FRXQW\

PAGE 27

7KURXJKRXW DOO RI WKH FKXUFKHV RQH ILQGV D ILUP IXQGDPHQWDOLVP 3XULWDQLFDO LQ NLQG IRU PRVW FKXUFKHVf 2QH ILQGV DOVR D VWURQJ FRPn PLWPHQW WR HYDQJHOLVWLF DFWLYLW\ DQG WR WKH QHHG IRU WKH LQGLYLGXDO WR XQGHUJR D FRQYHUVLRQ H[SHULHQFH DQG IRU WKH FRQJUHJDWLRQ WR VXSSRUW PLVVLRQDU\ DFWLYLWLHV DQG IUHTXHQW ZHHNORQJ UHYLYDOV $OO WKH :KLWH 3LQH LQKDELWDQWV UHIHU WR HDFK RQH RI WKH WHQ PLQn LVWHUV LQ WKH FRPPXQLW\ DV 3UHDFKHU UHJDUGOHVV RI DQ LQKDELWDQWnV RZQ FKXUFK DIILOLDWLRQ 8QGRXEWHGO\ WKLV UHIOHFWV WKH IDFW WKDW XQWLO D JHQHUDWLRQ DJR ORFDO FKXUFKHV XVXDOO\ GLG QRW KDYH WKHLU RZQ PLQLVWHUV 5DWKHU WKH\ VKDUHG D PLQLVWHU ZLWK RQH RU PRUH FKXUFKHV RXWVLGH WKH FRPPXQLW\ WKH GD\V RI WKH FLUFXLW ULGHUVf ,W DOVR VHHPV WR UHIOHFW WKH SUHVHQWGD\ QRWLRQ WKDW SUHDFKLQJ WKH :RUG RI *RG LV WKH PRVW LPSRUn WDQW GXW\ D PLQLVWHU KDV 7KH HSLWKHW WKXV FRQWLQXHV HYHQ WKRXJK FOHUn J\PHQ KDYH DGRSWHG DOO WKH HYHU\GD\ GXWLHV RI WKH SURIHVVLRQ FRXQVHOn LQJ YLVLWDWLRQ HWFf LQ UHFHQW \HDUV 3UHDFKHUV DUH DOVR LQYHVWHG ZLWK D JUHDW GHDO RI PRUDO DXWKRULW\ LQ WKH FRPPXQLW\ 7KH\ FDQ ZLHOG FRQVLGHUDEOH SROLWLFDO LQIOXHQFH DV ZHOO LI WKH\ FKRRVH RQ PDQ\ LVn VXHV RI ORFDO LPSRUW VXFK DV WKH JUDQWLQJ RI EHHU SHUPLWV RU RI SHUPLWV IRU EXVLQHVVHV WR RSHQ RQ 6XQGD\ 7KHVH DUH TXLWH LPSRUWDQW LVVXHV LQ :KLWH 3LQH 2QH ILQGV OLWWOH HYLGHQFH RI VHFWDULDQLVP LQ :KLWH 3LQH 7KHUH VHHPV OLWWOH GLIIHUHQFH EHWZHHQ WKH %DSWLVWV WKH 0HWKRGLVWV DQG WKH 3UHVE\WHULDQV LQ HLWKHU WKHLU WKHRORJ\ RU LQ WKHLU ZD\ RI FRQGXFWLQJ EXVLQHVV ,QGHHG WKH\ FRH[LVW TXLWH KDUPRQLRXVO\ 2QHnV FKXUFK DIn ILOLDWLRQ LV YLHZHG JHQHUDOO\ DV GHSHQGHQW RQ WKH DIILOLDWLRQ RI RQHnV SDUHQWV RU RQHnV VSRXVH QRW RQ RQHnV SHUVRQDO FRQYLFWLRQV

PAGE 28

7KH IRUHJRLQJ GRHV QRW VWULFWO\ KROG IRU WKH 3HQWHFRVWDOV ZKR GR FRQVLGHU WKHPVHOYHV WR DQ H[WHQW WR EH D SHRSOH DSDUW 7KH H[WUHPHV RI 3HQWHFRVWDO LVP LQ 6RXWKHUQ $SSDODFKLD KDYH ORQJ EHHQ SRLQWHG RXW DV LQ /D %DUUHnV VWXG\ f RQ WKH VQDNHKDQGOLQJ FXOWf 2QH FDQ ILQG FRQJUHJDWLRQV RI VQDNH KDQGOHUV QRW PRUH WKDQ WZHQW\ PLOHV HDVW RI :KLWH 3LQH LQ &RFNH &RXQW\ %XW SHRSOH LQ WKH DUHD RYHUZKHOPLQJO\ YLHZ VXFK SUDFWLFHV DV TXLWH REMHFWLRQDEOH DQG RIIHQVLYH 7KH SULPDU\ IXQFWLRQV RI WKH FKXUFK LWVHOI DUH WR SURYLGH UHOLJn LRXV VHUYLFHV DQG WUDLQLQJ IRU LWV PHPEHUV \HW LQ D FRPPXQLW\ ZKHUH VXFK D ODUJH SHUFHQWDJH RI WKH LQKDELWDQWV DUH PHPEHUV FKXUFKHV LQHYLn WDEO\ RIIHU PRUH WKDQ WKH IXOILOOPHQW RI VSLULWXDO QHHGV &KXUFKHV LQ :KLWH 3LQH SURYLGH PRVW RI WKH RUJDQL]HG VRFLDO DFWLYLWLHV 6FKHGXOHG ZHHNHQG DFWLYLWLHV DUH UHODWLYHO\ LQIUHTXHQW LQ :KLWH 3LQH EXW DQ\ JLYHQ DFWLYLW\ LV PRUH WKDQ OLNHO\ D FKXUFKUHODWHG RQH 6LQFH ZKHQ WKH FRXQW\nV KLJK VFKRROV ZHUH FRQVROLGDWHG WKH RQO\ RUJDQL]HG \RXWK DFWLYLWLHV LQ :KLWH 3LQH DUH WKRVH WKDW DUH FKXUFKVSRQVRUHG ,Q VKRUW WKHQ WKH LQIOXHQFH RI WKH RUJDQL]HG UHOLJLRQ LQ :KLWH 3LQH LV SHUYDVLYH 7KH FKXUFHV DUH YLHZHG DV KDYLQJ DQ LQGLVSHQVDEOH DQG ULJKWIXO SODFH LQ WKH OLIH RI WKH FRUUFQXQLW\ DQG LQ WKH OLIH RI WKH LQGLYLGXDO 7KH 6RXWKHUQ $SSDODFKLDQ 5HJLRQ $OJKRXJK WKH $SSDODFKLDQ 0RXQWDLQV H[WHQG WKLUWHHQ KXQGUHG PLOHV IURP 9HUPRQW WR $ODEDPD WKH UHJLRQ XVXDOO\ FDOOHG $SSDODFKLD DQG

PAGE 29

YLHZHG DV VKDULQJ FHUWDLQ GLVWLQFWLYH FXOWXUDO FKDUDFWHULVWLFV DQG VRFLDO DQG HFRQRPLF FRQGLWLRQV HQFRPSDVVHV WKH VRXWKHUQ KDOI RI WKH PRXQWDLQ UDQJH DQG LQFOXGHV DV LWV FRUH D VOLYHU RI 1RUWK *HRUJLD WKH HDVWHUQ WKLUGV RI 7HQQHVVHH DQG .HQWXFN\ WKH ZHVWHUQ WKLUGV RI 9LUJLQLD DQG 1RUWK &DUROLQD DQG WKH HQWLUH VWDWH RI :HVW 9LUJLQLD 7KLV LV LQ DGGLWLRQ WR D YDULHW\ RI IULQJH VHFWLRQV GHSHQGLQJ XSRQ ZKLFK GHPDUFDWLRQ RI WKH UHJLRQ RQH FKRRVHV 3HUKDSV WKH PRVW H[WHQn VLYH GHPDUFDWLRQ LV WKH SROLWLFDO RQH PDGH E\ WKH $SSDODFKLDQ 5HJLRQDO &RPPLVVLRQ 7KH &RPPLVVLRQ GHILQHV $SSDODFKLD E\ FRXQW\ EDVHG RQ HFRQRPLF FRQGLWLRQV 7KHLU $SSDODFKLD LQFOXGHV SDUWV RI $ODEDPD 0LVVLVVLSSL 6RXWK &DUROLQD 2KLR 0DU\ODQG 3HQQV\OYDQLD DQG 1HZ
PAGE 30

)LJXUH &DPSEHOOnV 6RXWKHUQ +LJKODQG 5HJLRQ 6RXUFH &DPSEHOO [[[YLLLf

PAGE 31

EHHQ FRQVLGHUHG LQ LWV KHDUW )XUWKHU UHDVRQ IRU GHVLJQDWLQJ :KLWH 3LQH DV DQ $SSDODFKLDQ FRPPXQLW\ LV SUHVHQWHG EHORZ 7KH OLQJXLVWLF DQDORJXH RI 6RXWKHUQ $SSDODFKLD LV WKH 6RXWK 0LGn ODQG DUHD .XUDWK .XUDWK DQG 0F'DYLG f ZKLFK HQFRPSDVVHV WKH PRXQWDLQ GLVWULFWV DQG DOVR PRVW RI 7HQQHVVHH DQG FRQVLGHUDEOH SRUn WLRQV RI 0LVVLVVLSSL $ODEDPD DQG *HRUJLD 7KLV DUHD GHWHUPLQHG E\ D FRPELQDWLRQ RI OH[LFDO SKRQRORJLFDO DQG PRUSKRORJLFDO LVRJORVVHV KDV EHHQ WUDGLWLRQDOO\ YLHZHG DV PRUH FORVHO\ UHODWHG OLQJXLVWLFDOO\ WR WKH 1RUWK 0LGODQG DUHD 3HQQV\OYDQLD DQG SDUWV RI 0DU\ODQG 'HODZDUH DQG 1HZ -HUVH\f WKDQ WR WKH 6RXWK 7KH TXHVWLRQ RI WKH UHODWLYH DIILQLW\ RI OLQJXLVWLF DQG RWKHU WUDLWV LQ 6RXWKHUQ $SSDODFKLD RU WKH 6RXWK 0LGODQGf WR UHJLRQV QRUWK DQG VRXWK LV VWLOO YHU\ PXFK XQDQVZHUHG LQ IDFW EXW LW ZLOO QRW RYHUO\ FRQFHUQ XV KHUH ,Q D SURYRFDWLYH UHDVVHVVPHQW RI WKH OLQJXLVWLF GLVn WLQFWLYHQHVV RI WKH DUHD %DLOH\ f FRQFOXGHV WKHUH LV QR 0LGODQG DUHD DW DOO ZKLFK KDV D FRUH RI GLVWLQFWLYH IHDWXUHV DQG WKDW 1RUWK 0LGn ODQG VKRXOG EH UHWHUPHG n/RZHU 1RUWKHUQn ZKLOH 6RXWK 0LGODQG EH UHGHVLJn QDWHG n2XWHU 6RXWKHUQn *DVWLO YLHZV WKH FXOWXUDO DIILQLWLHV DV O\LQJ FORVHU WR WKH 6RXWK &XOWXUDOO\ WKH PRXQWDLQV DUH DQ H[WUHPH YHUVLRQ RI WKH 8SODQG >6RXWK@ f $OO WKLV LV QRW WR VD\ RI FRXUVH WKDW HYHQ WKH PRVW UHVWULFWHG GHILQLWLRQ RI 6RXWKHUQ $SSDODFKLD LPSOLHV WKDW LW LV VRFLDOO\ KRPRJHQHn RXV RU WKDW LWV SHRSOH KDYH D FRPPRQ EDFNJURXQG EHFDXVH WKH\ QRZ PD\ VKDUH FHUWDLQ FXOWXUDO RU OLQJXLVWLF IHDWXUHV RU HYHQ D FRPPRQ RXWORRN RQ OLIH
PAGE 32

LQIHU WKDW LWV LQKDELWDQWV DUH DOLNH LQ DQFHVWU\ DQG FXOWXUDO EDFNn JURXQG HVSHFLDOO\ RQ WKH EDVLV RI D QXPEHU RI OLQJXLVWLF UHOLFV DSSDUHQWO\ GLVWLQFWLYH RI LWV SHRSOH 7KH PRVW H[WUHPH IRUPV RI VXFK LQIHUHQFHV LVVXH DQ DVVHUWLRQV WKDW $SSDODFKLDQ SHRSOH DUH (OL]DEHn WKDQ RU WKDW WKH\ SUHVHUYH WKH SXUHVW $QJOR6D[RQ EORRG LQ WKH 8QLWHG 6WDWHV RU WKDW WKH\ DUH DOPRVW SXUH 6FRWFK,ULVK QRWH WKH FRQWUDn GLFWLRQ KHUHf 7KHVH LQIHUHQFHV KDYH IRUPHG D SDUW RI WKH FKURQLF PLVFRQFHSWLRQV DERXW WKH LQKDELWDQWV RI 6RXWKHUQ $SSDODFKLD (YHQ VXFK D VHULRXV FRPPHQWDWRU DV &DPSEHOO KDV DEHWWHG VXFK LQIHUHQFHV E\ KLV VWDWHPHQW WKDW 6RXWKHUQ $SSDODFKLDQ SHRSOH IRUP D GHILQLWH UDFLDO JURXS [LYf DOWKRXJK KH FRQFHLYHG RI WKHLU KDYLQJ GHYHORSHG LQWR VXFK D GLVWLQFW JURXS RI SHRSOH E\ YLUWXH RI WKHLU FRPPRQ LQWHUHVWV KDUGVKLSV DQG VWUXJJOHV S f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f 6HYHUDO RWKHU JURXSV PRVW HVSHFLDOO\ WKH )UHQFK +XJXHQRWV ZHUH QXPHUn RXV DPRQJ WKH HDUO\ VHWWOHUV LQ $SSDODFKLD WRR 7KXV WKH UHJLRQnV SUHVHQWGD\ GHVFHQGDQWV DUH D K\EULG ZKHQFHYHU FDPH WKHLU ODQJXDJH D

PAGE 33

KDQGIXO RI LWV IHDWXUHV KDYH LQGHHG EHHQ VKRZQ WR EH FDUU\RYHUV IURP 1RUWKHUQ (QJODQG DQG 6FRWODQGf RU LWV PXVLFDO RU RWKHU WUDGLWLRQV )RU D YDULHW\ RI XQVFLHQWLILF DQG RIWHQ LPSUHVVLRQLVWLF UHDVRQV KRZHYHU WKH SHRSOH RI 6RXWKHUQ $SSDODFKLD DUH UHSXWHG WR EH TXLWH GLIn IHUHQW IURP DOO RWKHU $PHULFDQV ,I WKH\ GR QRW GHVFHQG GLUHFWO\ IURP WKH 6FRWFK,ULVKf WKHUH LV D TXDLQWQHVV LQ WKHLU DSSURDFK WR OLIH LW LV VDLG KDUNLQJ EDFN WR DQ HDUOLHU HUD RU WKHLU VSHHFK KDV D TXDOLW\ DQG FKDUDFWHU LQGLVSXWDEO\ XQLTXH 1RW RQO\ GRHV $SSDODFKLDQ VSHHFK SUHVHUYH YDULRXV UHOLFV WKDW LV EXW LW DOVR KDV D GLVWLQFWLYH TXDOLW\ LQ D PRUH JHQHUDO VHQVH 7KH OLWHUDWXUH RQ WKH VXEMHFW DERXQGV LQ GHn VFULSWLRQV RI KRZ PRXQWDLQ IRON WDON PRUH RIWHQ WKDQ QRW ZULWWHQ E\ FROOHJHHGXFDWHG FKLOGUHQ UHPHPEHULQJ IRQGO\ HDUOLHU GD\V LQ WKH KLOOV +HUH DUH WKUHH UHSUHVHQWDWLYH GHVFULSWLRQV 7KHUH DUH FHUWDLQ SHFXOLDULWLHV RI HQXQFLDWLRQ ZKLFK LW PLJKW EH ZHOO WR VSHDN RI KHUH )RU WKH 6PRN\ 0RXQWDLQHHU WKH QRVH LV DV PXFK DQ RUJDQ RI VSHHFK DV WKH ODU\Q[ 7KLV LV SDUWLFXODUO\ QRn WLFHDEOH LQ ROG SHRSOH DQG PD\ EH EHFDXVH RI WKH FDWDUUK EURXJKW RQ E\ FRQVWDQW H[SRVXUH DQG GLVHDVHG WRQVLOV 7KH PRXQn WDLQHHU GUDZOV WR DQ DODUPLQJ H[WHQW HYHQ PRUH VR WKDQ KLV QHLJKERUV RI WKH SODQWDWLRQV +LV YRLFH LV XWWHUO\ ZLWKRXW FDn GHQFH DOPRVW D GURQLQJ PRQRWRQH 2Q WKH RWKHU KDQG LW KDV D GHHS UHVRQDQW TXDOLW\ ZKLFK FDWDUUK DQG HPEDUUDVVPHQW QHYHU ZKROO\ REOLWHUDWH :DONHU f 7KH PRXQWDLQHHU KDV FOXQJ WR WKH 6KDNHVSHDUHDQ ZRUG WKHVH PDQ\ \HDUV EHFDXVH KH KDV QRW OHDUQHG WKH PRGHUQ ZRUG ,QGHHG KH KDV KDG OLWWOH FRQWDFW ZLWK WKRVH ZKR VSHDN WKH PRGHUQ ZRUG DQG VLQFH KLV VXUURXQGLQJV DQG KDELWV DQG WKRXJKWV KDYH EHHQ ODUJHO\ WKH VDPH DV WKH\ ZHUH LQ 6KDNHVSHDUHnV GD\ KH KDV KDG QR QHHG IRU QHZ RU FKDQJHG VSHHFK &ROHPDQ f $V D UDFH WKH SHRSOH RI RXU VRXWKHUQ PRXQWDLQV VSHDN VRIWO\ (YHQ WKHLU PRVW FRPPRQSODFH UHPDUNV VRPHKRZ DUH PDGH WR VRXQG VHFUHW DQG RI JUHDWHVW LPSRUWDQFH 7KH ZRPHQ HVSHFLDOO\ VSHDN VRIWO\ WKHLU YRLFHV RIWHQ SODLQWLYHO\ VZHHW SLWFKHG LQ D PLQRU NH\ DQG OLIWLQJ XSZDUG VR WKDW WKH ODVW ZRUG RI HYHU\ VHQWHQFH LV DOPRVW VXQJ +DQQXP f

PAGE 34

7KH FRQWHQWLRQ LQ WKHVH H[FHUSWV LV WKDW WKH VSHHFK RI 6RXWKHUQ $SSDn ODFKLDQ SHRSOH KDV D PDUNHG IODYRU DQG FKDUDFWHU DOO LWV RZQ EH\RQG WKH SUHVHQFH RI DUFKDLF H[SUHVVLRQV DQG ZRUGV WKHUHLQ &RPPHQWDWRUV KDYH ORQJ EHHQ DW SDLQV WR DFFRXQW IRU WKLV RQ WKH EDVLV RI RQH H[WUD OLQJXLVWLF IDFWRU RU DQRWKHU LVRODWLRQ SDFH RI OLIH HWFf &UDWLV :LOOLDPV OLIHORQJ UHVLGHQW RI WKH PRXQWDLQV DWWULEXWHV LQ SDUW WKH GLVWLQFWLYHQHVV RI WKH ZD\ SHRSOH LQ WKH UHJLRQ VSHDN WR WKH KLJKODQGn HUnV KDELW RI WKUXVWLQJ KLV FKLQ IRUZDUG ULJLGO\ ZKHQ KH VSHDNV f %UHZHU DQG %UDQGHV WU\ WR H[SODLQ ZK\ 6RXWKHUQ $SSDODFKLDQ (QJOLVK LPSUHVVHV RXWVLGHUV DV VR GLIIHUHQW E\ GHVFULELQJ WKH NLQHVLFV RI LWV VSHDNHUV GHWDLOLQJ WKH SRVWXUH DQG WKH H\H DQG ERG\ FRQWDFW RI WKH W\SLFDO VSHDNHU LQ WKH UHJLRQ $OPRVW DOO WKH VWXGLHV DQG FRPPHQWV RQ WKH VSHHFK RI 6RXWKHUQ $Sn SDODFKLD KDYH KDG WKH XQIRUWXQDWH HIIHFW KRZHYHU RI OXPSLQJ WKH HQn WLUH UHJLRQ WRJHWKHU OLQJXLVWLFDOO\ DQG DVVXPLQJ WKDW LW LV KRPRJHQHRXV ZLWKLQ LWVHOI DV ZHOO DV GLVWLQFW IURP RWKHU UHJLRQV RI WKH FRXQWU\ 7R WKLV GDWH YHU\ OLWWOH DWWHQWLRQ KDV EHHQ GHYRWHG WR UHJLRQDO OLQn JXLVWLF YDULDWLRQ ZLWKLQ $SSDODFKLD 2QO\ WKH WZR OLQJXLVWLF DWODV SURMHFWV WKH /LQJXLVWLF $WODV RI WKH 0LGGOH DQG 6RXWK $WODQWLF 6WDWHV DQG WKH /LQJXLVWLF $WODV RI WKH *XOI 6WDWHV KDYH JLYHQ VLJQLILFDQW FRQVLGHUDWLRQ WR VXFK YDULDWLRQ 7KLV SUHVXPSWLRQ RI XQGHUO\LQJ XQLn IRUPLW\ KDV EHHQ HVSRXVHG IUHTXHQWO\ DV LQ &DUSHQWHU f +H FRQn WHQGV WKDW WKH RQO\ YDULDWLRQ LQ WKH YHUQDFXODU RI WKH VRXWKHUQ DQG FHQWUDO $SSDODFKLDQV KDV EHHQ GXH WR WKH GLIIHUHQFH LQ WKH GHJUHH RI LVRODWLRQ RI WKH YDULRXV VHFWLRQV S f 0RVW ZULWHUV LJQRUH WKH

PAGE 35

VXEMHFW RI JHRJUDSKLFDO YDULDWLRQ HQWLUHO\ 7KLV FUHDWHV WKH LPSUHVn VLRQ WKDW WKHUH LV QRQH 1R DWWHQWLRQ ZDV JLYHQ XQWLO YHU\ UHFHQWO\ WR YDULDWLRQ E\ DJH VRFLRHFRQRPLF EDFNJURXQG RU DQ\ RWKHU YDULDEOH 7KLV SUHVXPSWLRQ RI OLWWOH LI DQ\ YDULDWLRQ LV GLUHFWO\ DW RGGV ZLWK WKH YLHZ RI 6RXWKHUQ $SSDODFKLDQ VSHDNHUV WKHPVHOYHV 7KH\ EHn OLHYH WKDW 6RXWKHUQ $SSDODFKLD KDV PXFK VXEUHJLRQDO YDULDWLRQ 6SHDNn HUV LQ WKH UHJLRQ DV D UXOH DQG :KLWH 3LQH H[HPSOLILHV WKLV ZHOOf FRQ WHQG WKDW WKH\ VSHDN GLIIHUHQWO\ IURP QHLJKERULQJ FRPPXQLWLHV RQO\ D IHZ PLOHV GRZQ WKH URDG RU RQH RU WZR KLOOV RYHU DOWKRXJK LW LV GLIIL FXOW WR WHOO ZKDW GLIIHUHQFHV WKH\ KDYH LQ PLQG 7KHVH VXEMHFWLYH YLHZV KDYH RFFDVLRQDOO\ EHHQ VXSSRUWHG E\ VWDWHPHQWV LQ WKH OLQJXLVWLF OLWHUDWXUH DV E\ %HUUH\ WKH GLDOHFW PD\ YDU\ VOLJKWO\ ZLWK WKH ORn FDOLW\ DQG HYHQ IURP IDPLO\ WR IDPLO\ f RU E\ :DONHU ,W PXVW EH UHDOL]HG WKDW WKH VSHHFK RI WKH PRXQWDLQHHU YDULHV IURP RQH GLVWULFW WR DQRWKHU f :ROIUDP DQG &KULVWLDQ LQ FRPPHQWLQJ RQ YRZHO YDULDWLRQ LQ VRXWKHUQ :HVW 9LUJLQLD VWDWH WKDW WKHUH DUH DSSDUHQW YRZHO GLIIHUHQFHV IURP UHJLRQ WR UHJLRQ ZLWKLQ $SSDODFKLD (YHQ ZLWKLQ WKH UHVWULFWHG ORFDOH ZH KDYH VWXGLHG KHUH WKHUH LV HYLn GHQFH WKDW VHYHUDO GLIIHUHQW YRZHO V\VWHPV PXVW EH UHFRJQL]HG f 7R ZKDW H[WHQW WKH WHUP $SSDODFKLDQ (QJOLVK UHIHUV WR D GHWHUn PLQDEOH OLQJXLVWLF HQWLW\ LV WKHQ XQVHWWOHG 2Q WKH RQH KDQG VRPH FRPPHQWDWRUV DQG $SSDODFKLDQ SHRSOH UHFRJQL]H DQ DOPRVW KROORZWRKRO ORZ DQG FRPPXQLW\WRFRPPXQLW\ YDULDWLRQ 2Q WKH RWKHU VXFK ORQJn WLPH VWXGHQWV RI $PHULFDQ (QJOLVK DV 0HQFNHQ f DQG :LVH f

PAGE 36

FRQVLGHU WKH GLDOHFW RI WKH 6RXWKHUQ $SSDODFKLDQ DUHD GLVWLQFW DQG LGHQWLILDEOH 2QH UHDVRQDEOH DSSURDFK WR WKH LVVXH RI ZKHWKHU WKH WHUP $SSDODFKLDQ (QJOLVK VKRXOG EH XVHG LV WKDW RI :ROIUDP ZKR DGRSWV WKH WHUP DQG DSSOLHV LW WR D XQLTXH FRPELQDWLRQ RI OLQJXLVWLF FKDUDFWHULVWLFV UDWKHU WKDQ VWUXFWXUHV DV VXFK :ROIUDP f )RU KLP $SSDODFKLDQ (QJOLVK UHIHUV WR D FRPPRQ GHQRPLQDWRU RI QRQXQLTXH IHDWXUHV ZKLFK DU VWLOO VXEMHFW WR YDULDWLRQ IRU DQ\ JLYHQ GLVWULFW ZLWKLQ $SSDODFKLD RU IRU VXEJURXSV ZLWKLQ VXFK D GLVWULFW 6LQFH WKLV VWXG\ LV GHVLJQDWHG DV RQH RQ $SSDODFKLDQ VSHHFK WKLV PXVW QRZ EH MXVWLILHG DQG H[SODLQHG 7KLV VWXG\ GRHV QRW LQYHVn WLJDWH OLQJXLVWLF IHDWXUHV GHDOW ZLWK V\VWHPDWLFDOO\ LQ HDUOLHU VWXGLHV RQ WKH VSHHFK RI WKH 6RXWKHUQ $SSDODFKLDQ UHJLRQ RU RI WKH VSHHFK RI DQ\ RWKHU YDULHW\ RI $PHULFDQ (QJOLVK ,W WKXV ODFNV WKH FRPSDUDELOLW\ RI HYLGHQFH UHTXLUHG WR GLVWLQJXLVK WKH VSHHFK RI :KLWH 3LQH DV $SSDn ODFKLDQ VROHO\ RQ WKH EDVLV RI OLQJXLVWLF FULWHULD DOWKRXJK QHDUO\ DOO WKH IHDWXUHVf§SKRQRORJLFDO OH[LFDO DQG JUDPPDWLFDOf§XVXDOO\ WHUPHG $SSDODFKLDQ DV E\ %UHZHU DQG %UDQGHV f DUH IRXQG LQ WKH VSHHFK RI :KLWH 3LQH LQKDELWDQWV 1RU GRHV LW DGRSW WKH GHVLJQn DWLRQ VROHO\ RQ WKH EDVLV RI :KLWH 3LQHnV JHRJUDSKLFDO ORFDWLRQ ,I LW GLG (DVW 7HQQHVVHH ZRXOG KDYH EHHQ XVHG 5DWKHU WKH VSHHFK RI WKH LQKDELWDQWV RI :KLWH 3LQH LV FDOOHG $SSDODFKLDQ EHFDXVH WKH FRPPXQLW\ LV HWKQRJUDSKLFDOO\ VSHDNLQJ DQ $SSDODFKLDQ FRPPXQLW\ RQ WKH EDVLV RI VHYHUDO RI WKRVH VDOLHQW FKDUDFWHULVWLFV ZKLFK KDYH ORQJ EHHQ DVVRFLDWHG ZLWK 6RXWKHUQ $SSDODFKLDf§LQGLYLGXDOLVP DQG VHOI UHOLDQFH WUDGLWLRQDOLVP IDWDOLVP DQG IXQGDPHQWDOLVW UHOLJLRQ )RUG ,IIf

PAGE 37

7KURXJKRXW WKH OLWHUDWXUH RQ 6RXWKHUQ $SSDODFKLD UXQV WKH YLHZ WKDW LWV SHRSOH DQG FXOWXUH DUH GLVWLQFWLYH LQ DW OHDVW D EURDG VHQVH 0RVW FRPQHQWDWRUV RQ WKH UHJLRQ SRLQW RXW WKDW D FRPELQDWLRQ RI VXFK WUDLWV DV ILHUFH LQGLYLGXDOLVP DQG PLVWUXVWIXOQHVV RI DOO VWUDQJHUV DPRQJ RWKHUV FKDUDFWHUL]H WKH 6RXWKHUQ $SSDODFKLDQ QDWLYH DQG PDNH KLP KHU GLIIHUHQW IURP RWKHU $PHULFDQV :KLWH 3LQH LV PRUH RI D YDOOH\ WKDQ D PRXQWDLQ FRPPXQLW\ DQG VXFK FKDUDFWHUL]DWLRQV KDYH EHHQ PRUH DFFXn UDWH RI WKH LVRODWHG FRPPXQLWLHV LQ WKH UHJLRQ WKDQ RI WKH XUEDQ DQG YDOOH\ VHFWLRQV RI 6RXWKHUQ $SSDODFKLD 7KLV KDV VRPHWLPHV EHHQ UHFRJn QL]HG DV E\ -RKQ & &DPSEHOO ZKR OLYHG DQG WDXJKW LQ WKH UHJLRQ IRU D TXDUWHU FHQWXU\ &DPSEHOO ZDV FRQFHUQHG WKDW VRPH RI KLV VWDWHPHQWV LQ KLV 7KH 6RXWKHUQ +LJKODQGHU DQG +LV +RPHODQG ZRXOG QRW EH XQGHUVWRRG DV DSSOLFDEOH WR WKH UHPRWH UXUDO IRON ZKR ZHUH WKH SDUWLFXODU REMHFW RI KLV VWXG\ >DQG@ ZHUH QRW WUXH RI WKHLU XUEDQ DQG YDOOH\ NLQVIRON [LYf %XW VXFK FKDUDFWHUL]DWLRQV ZKLOH VRPHWLPHV H[WUHPH UDUHO\ FODLP WKDW 6RXWKHUQ $SSDODFKLD LV FXOWXUDOO\ RU VRFLDOO\ KRPRJHn QHRXV :KLWH 3LQH LWVHOI LV FHUWDLQO\ QHLWKHU
PAGE 38

)RUG VXUYH\HG QHDUO\ KRPHV LQ D UHJLRQ FORVHO\ FRWHUPLQRXV ZLWK &DPSEHOOnV 6RXWKHUQ +LJKODQG UHJLRQ SDJH DERYHf LQ WKUHH GLIn IHUHQW NLQGV RI FRPPXQLW\f§UXUDO XUEDQ DQG PHWURSROLWDQf§ZLWK D TXHVWLRQQDLUH GHYLVHG WR LQGLFDWH WKH VWUHQJWK RI IRXU SURPLQHQW WUDLWVf§LQGLYLGXDOLVP DQG VHOIUHOLDQFH WUDGLWLRQDOLVP IDWDOLVP DQG IXQGDPHQWDOLVW UHOLJLRQ ,W ZDV K\SRWKHVL]HG WKDW EHFDXVH RI WKH HFRn QRPLF DQG VRFLDO FKDQJHV ZKLFK KDG WDNHQ SODFH DIWHU WKH 6HFRQG :RUOG :DU D GLVSDULW\ EHWZHHQ UXUDO DQG QRQUXUDO PDQLIHVWDWLRQ RI WKHVH WUDLWV ZRXOG EH IRXQG $OWKRXJK KH GLG ILQG VRPH GLVSDULW\ KLV UHVXOWV VKRZ WKDW WKH IRXU WUDLWV KH FKRVH IRUP D FRPPRQ GHQRPLQDWRU IRU 6RXWKHUQ $SSDODFKLD LQ JHQHUDO )RUG RXWOLQHV KLV FKRLFH RI WUDLWV LQ WKLV PDQn QHU ,Q H[DPLQLQJ WKH ZHE RI PRXQWDLQ OLIH RQH ILQGV WKHVH WKHPHV LQWHUWZLQHG DQG JHQHUDOO\ WKRXJK QRW DOZD\V PXWXDOO\ VXSSRUWn LQJ 0RVW VRFDOOHG PRXQWDLQ WUDLWV DUH WR EH IRXQG LQ RQH IRUP RU DQRWKHU WKURXJKRXW WKH QDWLRQ SDUWLFXODUO\ LQ UXUDO DUHDV $W WKH VDPH WLPH HDFK RI WKHP KDV LWV DQWLWKHVLV LQ FRQWHPSRUDU\ LQGXVWULDO VRFLHW\ 7KH VHOIUHOLDQW LQGLYLGXDOn LVW DW OHDVW DV DQ LGHDO W\SH VWDQGV DW WKH IDU HQG RI WKH VFDOH IURP WKH PXFK EHUDWHG RUJDQL]DWLRQ PDQ 7UDGLWLRQDOLVP QRW RQO\ LQ WKH VHQVH RI FOLQJLQJ WR DQ HDUOLHU KHULWDJH EXW DOVR LQ WKH H[DOWDWLRQ RI UHVLVWDQFH WR VRFLDO FKDQJH LV YLHZHG DV ERWK DQDFKURQLVWLF DQG YDJXHO\ LPPRUDO E\ D ODUJHU VRFLHW\ WKDW YDOXHV SURJUHVV WKURXJK UDWLRQDO VFLHQWLILF HQGHDYRU (YHQ PRUH UHSUHKHQVLEOH WR D FXOWXUH WKDW VWUHVVHV DFKLHYHPHQW VHOIEHWWHUPHQW DQG PDVWHU\ RYRU QDWXUH LV D SDVVLYH UHVLJQDn WLRQ WR RQHnV VLWXDWLRQ LQ OLIH SDUWLFXODUO\ LI LW LV D VLWXDn WLRQ YLHZHG DV ERWK XQGHVLUDEOH DQG UHPHGLDEOH /HVV VXEMHFW WR FHQVXUH E\ WKH ODUJHU VRFLHW\ SHUKDSV EXW FRQWUDVWLQJ DV VKDUSO\ ZLWK LWV GRPLQDQW YDOXHVf§DQG QRW LPPXQH IURP ULGLFXOHf§ LV WKH ULJLG SHUYDVLYH UHOLJLRXV HWKRV RI WKH >6RXWKHUQ $SSDODn FKLDQ@ 5HJLRQ S f &RPPHQWDWRUV RQ 6RXWKHUQ $SSDODFKLD KDYH ORQJ FKDUDFWHUL]HG LWV SHRSOH DV LQGLYLGXDOLVWLF VHOIUHOLDQW DQG QRQVRFLDO &DPSEHOO

PAGE 39

GHYRWHV DQ HQWLUH FKDSWHU f WR DQDO\]LQJ WKHLU LQGLYLGXDOLVP DQG YLHZV WKHLU VHOIUHOLDQFH DV D UHVXOW RI WKHLU H[WUHPH LVRODWLRQ +RUDFH .HSKDUW ZKR OLYHG LQ ZHVWHUQ 1RUWK &DUROLQD WKH ILUVW WZR GHFn DGHV RI WKLV FHQWXU\ FKDUDFWHUL]HV WKH SHRSOH DV KDYLQJ ILHU\ LQGLn YLGXDOLVP DQG DV EHLQJ QRQVRFLDO f DQG JRHV RQ WR VD\ ([FHSW DV NLQVPHQ RU SDUWLVDQV WKH\ FDQQRW SXOO WRJHWKHU 6SHDN WR WKHP RI FRPPXQLW\ RI LQWHUHVWV WU\ WR VKRZ WKHP WKH DGYDQn WDJHV RI FRRSHUDWLRQ DQG \RX PLJKW DV ZHOO EH SURIIHULQJ DGYLFH WR WKH 1RUWK 6WDU Sn f 0RUH FRQWHPSRUDU\ REVHUYHUV :HOOHU IIf LQ :HVW 9LUJLQLD DQG +LFNV f LQ ZHVWHUQ 1RUWK &DUROLQD GRFXPHQW WKH VDPH WUDLW DPRQJ WKH VHFWLRQV RI WKH UHJLRQ WKH\ REVHUYHG :KHQ RQH ORRNV DW :KLWH 3LQH VXFK FRPPHQWV KDYH D UHPDUNDEOH DSSOLFDELOLW\ 7KH SHRSOH DUH EDVLFDOO\ QRQVRFLDO VWLFNLQJ WR VPDOO JURXSV QRW RIWHQ XQLILHG LQ DFWLQJ H[FHSW LQ RSSRVLWLRQ WR D SURSRVHG ORFDO FKDQJH RQ D VSHFLDO RFFDVLRQ VXFK DV 3LQH )HVWLYDO 'D\ RU ZLWKn LQ WKH VPDOO VSKHUH RI WKH NLQ JURXS 5HJDUGLQJ WKHLU LQDELOLW\ WR ZRUN WRJHWKHU D WZHQW\QLQH\HDUROG PDOH UHVLGHQW RI :KLWH 3LQH VD\V RI KLV IHOORZ FLWL]HQV 7KH\ WKH\ ZDQW WR NQRZ EXW WKH\ GRQnW ZDQW WR FRPH RXW RI WKHLU VKHOO ORQJ HQRXJK WR JHW HQRXJK RI LW WR H[SDQG 7KH\ IHDU H[n SDQVLRQ 7KLV WRZQ GHILQLWHO\ GRHVQnW LW RQH GD\ WKH\nOO EH VKRFNHG LQWR WKH IDFW WKDW 0RUULVWRZQ ZLOO WU\ WR DQQH[ WKHP DQG WKHUH ZLOO EH D WRWDO EDU WKDW ZLOO EH WKH FRPPRQ ERQG WKDW EULQJV WKHP WRJHWKHU 7KH\ ZLOO EH WKDW ZLOO EH WKH VXSn SRUWLYH HOHPHQW ZRXOG EH WR VWDQG DJDLQVW VRPH FDXVH 7KLV GRHV QRW FRQWUDGLFW WKH VWDWHPHQW DERYH S f DERXW WKH FRKHVLYHn QHVV RI WKH FRPPXQLW\ LW PHDQV WKH FRKHVLYHQHVV LV SDVVLYH DQG UHVLGXDO

PAGE 40

7KH VHOIUHOLDQFH RI WKH UHJLRQnV SHRSOH KDV DQRWKHU VLGH WR LW DV )RUG S f SRLQWV RXW LQ WKHLU DWWLWXGH RI DFFHSWDQFH WRZDUG IHGHUDO ZHOIDUH DQG DVVLVWDQFH SURJUDPV 2GXP UHPDUNHG RYHU IRUW\ \HDUV DJR WKDW WKH SHRSOH RI 6RXWKHUQ $SSDODFKLD UHSXWHG WR EH WKH PRVW LQGLYLGXDOLVn WLF RI DOO WKH UHJLRQV WKH\ FRRSHUDWH PRVW IXOO\ ZLWK 0HZ 'HDO WHFKn QLTXHV f 1RWZLWKVWDQGLQJ VFDWWHUHG LQLWLDO RSSRVLWLRQ SULPDUn LO\ E\ WKRVH ZKRVH ODQGV ZRXOG EH FODLPHG E\ WKH UHVHUYRLUVf WKH SHRSOH LQ WKH :KLWH 3LQH DUHD DQG WKURXJKRXW (DVW 7HQQHVVHH KDYH DFFHSWHG DQG FRRSHUDWHG ZLWK 79$nV PDQ\ SURJUDPV 7KHUH ZDV OLWWOH UHOXFWDQFH WR DFFHSW ZKDWHYHU IHGHUDO DVVLVWDQFH ZDV SURIIHUHG 7KH WUDGLWLRQDOLVP DQG IDWDOLVP FKDUDFWHUL]LQJ $SSDODFKLDQ SHRSOH DUH DWWULEXWHG WR WKHLU VWUXJJOH RI PDQ\ JHQHUDWLRQV ZLWK WKH KDUVK UHDOLn WLHV RI OLIH LQ D UHJLRQ ZLWK IHZ UHVRXUFHV DQG OLWWOH DYDLODEOH SURGXFn WLYH ODQG DFFRUGLQJ WR )RUG f :HOOHU f VKRZV KRZ VXFK WKHPHV IORZ WKURXJKRXW PRXQWDLQ VRQJV VWRULHV DQG GDLO\ DWWLWXGHV ,Q :KLWH 3LQH LW LV PDQLIHVW LQ WKH VWURQJ DQG ZLGHVSUHDG GRXEWV DERXW WKH YDOXH RI FKDQJH RI SURJUHVV DQG RI SRVWKLJK VFKRRO HGXFDWLRQ VHH TXRWHV DERYH SS f 7KH WZHQW\QLQH\HDUROG PDOH TXRWHG DERYH VD\V UHJDUGLQJ WKH FRPPXQLW\nV UHVLGHQWV 7KH\nUHEOLQGHG UHDOO\ WR ZKDWnV ZKDWnV JRLQJ RQ WKLQN 7KH\ GRQnW VHH WKHLU \RXWK 7KH\ GRQnW VHH WKH\ GRQnW VHH OLIH DV SURJUHVVLQJ 7KH\ MXVW VHH LW DV DV D WROHUDEOH VWDWH WR EH LQ DQG \RX MXVW WROHUDWH LW QRZ DQG KRSH IRU WKH IXWXUH \HW \RX GRQnW ZRUN IRU LW
PAGE 41

7KH WUDGLWLRQDO ZD\ DQG SDFH RI OLIH LQ WKH FRPPXQLW\ KDYH EHHQ FRQn VLGHUHG DV VRPHWKLQJ RI D ELUWKULJKW 0DQ\ RWKHU WKLQJV VXFK DV SRn OLWLFDO DQG UHOLJLRXV DIILOLDWLRQV DUH DOVR FRQVLGHUHG LPPXWDEOH ELUWKULJKWV 0DQ\ ZLVK NHHQO\ WR SDVV DOO WKLV RQ WR WKH QH[W JHQHUDn WLRQ /LWWOH DGGLWLRQDO FRPPHQWDU\ KHUH VHH SS DERYHf LV QHHGHG WR VKRZ KRZ DSSOLFDEOH LV WKH IRXUWK FKDUDFWHULVWLF WUDLW )RUG VWXGLHG IXQGDPHQWDOLVW UHOLJLRQ WR :KLWH 3LQH 7KH FRPPXQLW\ KDV QR QRQIXQn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f +RZHYHU WKH VXP WRWDO RI OLWn HUDWXUH RQ $SSDODFKLDQ (QJOLVK GRHV QRW DFWXDOO\ WHOO XV PXFK DERXW KRZ SHRSOH LQ WKH UHJLRQ VSHDN $W EHVW PRVW RI WKH OLWHUDWXUH LV OLWWOH PRUH WKDQ DQHFGRWDO GHDOLQJ ZLWK D VFDWWHULQJ RI H[RWLF ZRUGV DQG SURn QXQFLDWLRQV PDQ\ RI ZKLFK LQGHHG DUH DUFKDLVPV 9HU\ IHZ ZULWHUV KDYH DFWXDOO\ DVVHUWHG WKDW 6KDNHVSHDUHDQ (QJOLVK LV RU ZDV VSRNHQ LQ WKH PRXQWDLQV %XW PDQ\ KDYH WDNHQ H[WUHPH SDLQV WR LQGLFDWH XVDJHV LQ $S

PAGE 42

$SSDODFKLDQ VSHHFK FRUUHVSRQGLQJ WR XVDJHV LQ 6SHQVHU &KDXFHU DQG HVSHFLDOO\ 6KDNHVSHDUH 7KLV FUHDWHV WKH LPSUHVVLRQ WKDW WKH ODQJXDJH RI WKH PRXQWDLQV LV OLWWOH PRUH WKDQ D FDUU\RYHU IURP D E\JRQH HUD DQG DQRWKHU FRXQWU\ 7KLV LV HVSHFLDOO\ WUXH ZKHQ D FRPPHQWDWRU GHYRWHV OLWWOH DWWHQWLRQ WR DQ\WKLQJ EXW VXFK DQDORJXHV 2QH PLJKW JR VR IDU DV WR VSHDN RI D W\SLFDO WUHDWPHQW RI $SSDOD FKDLQ VSHHFK LQ WKH OLWHUDWXUH 7KLV LV UHSUHVHQWHG E\ %HUUH\ f %UD\ f &DUSHQWHU f &RPEV f :DWNLQV f :HVW f DQG PDQ\ RWKHUV 7KH W\SLFDO WUHDWPHQW FRQWDLQV WKH IROORZLQJ f $ EULHI GHVFULSWLRQ RI PRXQWDLQ FXOWXUH DQG RI WKH PRXQWDLQHHU KLPVHOI HVSHFLDOO\ PHQWLRQLQJ WKH PRVW VDOLHQW WUDLWV RI KLV SHUVRQDOLW\ DQG KRZ KH KDV DGRSWHG KLPVHOI WR KLV PRXQWDLQ HQYLURQPHQW f 'LVFXVVLRQ RI YDULRXV SHFXOLDULWLHV RI SURQXQFLDWLRQ V\QWD[ YRFDEXODU\ XVDJH RQRPDVWLFV DQG VLPLOHV DQG RWKHU ILJXUHV RI VSHHFK DQG H[SUHVVLRQV ZLWK DQ HIIRUW WR FRPSDUH VXFK ZLWK 2OG 0LGGOH DQG (OL]DEHWKDQ (QJOLVK ZKHQHYHU SRVVLEOH f 2SWLRQDOf $ IHZ UHPDUNV RQ KRZ PRXQWDLQ VSHHFK LVKDV EHHQ SDVVLQJ DZD\ GHVSLWH LWV H[SUHVVLYHQHVV DQG FRORU &ROHPDQ f LV D SHUIHFW H[DPSOH RI WKLV W\SLFDO WUHDWPHQW +HU ILUVW FKDSWHU SRLQWV RXW WKH DQFHVWU\ RI WKH PRXQWDLQ SHRSOH VKRZV KRZ WKH\ GHYHORSHG VHOIUHOLDQFH LQ WKHLU LVRODWHG KDELWDW HPSKDVL]HV WKH ILHUFH LQGHSHQGHQFH RI WKHLU FKDUDFWHU DQG VKRZV WKH ORZ SRVLWLRQ RI ZRPHQ LQ PRXQWDLQ VRFLHW\ ,Q KHU VHFRQG FKDSWHU VKH FRYHUV D ZLGH

PAGE 43

VHOHFWLRQ RI JUDPPDWLFDO OH[LFDO DQG SURQXQFLDWLRQ IHDWXUHV LQ PRXQWDLQ VSHHFK IURP 1RUWK *HRUJLD YLWK DFFRPSDQ\LQJ FLWDWLRQV IURP VL[WHHQWKFHQWXU\ %ULWLVK OLWHUDWXUH ZKHUHYHU SRVVLEOH ,Q FKDSWHU WKUHH VKH EHZDLOV WKH LQHYLWDEOH SDVVLQJ RI WKH PRXQWDLQHHU ZLWK WKH FRPLQJ RI PRGHUQ HGXFDWLRQ DQG WHFKQRORJ\ ZKLFK ZLOO ZLSH DZD\ IRUn HYHU RXU DGPLUDEOH PRXQWDLQHHU ZLWK KLV TXDLQW DQG GHOLJKWIXO PDQQHU DQG VSHHFK S f (YHQ ZHOONQRZQ HDUO\ VFKRODUV RI WKH VSHHFK RI WKH UHJLRQ DUH JLYHQ WR VXFK YDJXH VWDWHPHQWV DV LQ JHQHUDO PRVW YRZHOV PD\ EH XVHG LQWHUFKDQJHDEO\ 0RVW YRZHOV PD\ UHSODFH nHf L DQG 9 &RPEV f %XW WKH PRVW IXQGDPHQWDO GHILFLHQF\ RI DOPRVW DOO VWXGLHV RI $SSDODFKLDQ VSHHFK WR GDWH LV WKDW WKH\ SURYLGH DEVROXWHO\ QR FRQWH[W IRU WKHLU GDWD ,W LV LPSRVVLEOH WR XQGHUVWDQG D ODQJXDJH IXOO\ XQOHVV ZH KDYH LQIRUPDWLRQ UHJDUGLQJ ILYH GLIIHUHQW NLQGV RI FRQWH[W IRU OLQn JXLVWLF GDWD f :KLFK SDUW RI WKH VSHHFK FRPPXQLW\ XVHV WKH IRUPVf" 2OG RU \RXQG PLGGOH RU ORZHU FODVV UXUDO RU XUEDQ VSHDNHUV HWFf f +RZ RIWHQ LV D IRUP XVHG" ,V LW FDWHJRULFDO RU H[WUHPHO\ UDUH RU WKH SUHGRPLQDQW XVDJH"f f ,Q ZKDW NLQG RI VRFLDO VLWXDWLRQ LV WKH IRUP XVHG" LH :KDW VW\OH RI VSHHFK LV LQYROYHG"f f :KDW FRPPXQLFDWLYH WDVN LV D VSHDNHU SHUIRUPLQJ ZKHQ D IRUP LV XVHG"

PAGE 44

f :KDW LV WKH OLQJXLVWLF FRQWH[W RI WKH IRUP" :KHUH LQ WKH VHQn WHQFH DQG LQ WKH GLVFRXUVH GRHV LW DSSHDU"f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n WLYHf VSHDNHUV DQG IRUPV LQIHFWV HYHQ ZRUNV ZKLFK DUH RWKHUZLVH OLQJXLVn WLFDOO\ VRXQG 7KLV WHPSWDWLRQ LV YHU\ VWURQJ -RVHSK 6 +DOOnV WKRn URXJK DQG LQYDOXDEOH VWXG\ RI WKH SKRQHWLFV RI WKH VSHHFK RI WKH IHZ UHn PDLQLQJ UHVLGHQWV RI WKH *UHDW 6PRN\ 0RXQWDLQ 1DWLRQDO 3DUN ZDV XQGHUn WDNHQ KH FRQIHVVHV EHFDXVH KH EHOLHYHV LQ WKLV VSHHFK ZKLFK KDV VR ORQJ EHHQ UHPRYHG IURP WKH PDLQ FXUUHQWV RI $PHULFDQ FXOWXUH WKHUH ZRXOG UHPDLQ YHVWLJHV RI HDUOLHU VWDJHV RI WKH JURZWK RI WKH (QJOLVK ODQJXDJH DQG ZKLFK DOVR ZRXOG QRW KDYH WKH GHHS LPSUHVV RI WKH VFKRROPDVWHUnV LQn IOXHQFH f %UHZHU DQG %UDQGHV f SUHVHQW RQO\ WKH H[WUHPH IHDWXUHV RI $SSDODFKLDQ (QJOLVK IRU WKH EHQHILW RI VFKRROWHDFKHUV ZKR ZLOO WHDFK LQ $SSDODFKLD 7ZR UHFHQW VRFLROLQJXLVWLF VWXGLHV +DFNHQEHUJ f DQG :ROIUDP DQG &KULVWLDQ f WDNH LQWR DFFRXQW WKH ILUVW WZR FRQWH[WV ZKR XVHV WKH IRUP DQG KRZ RIWHQ LV LW XVHG"f EXW QHLWKHU FRQWUROV WKH

PAGE 45

RWKHU WKUHH LQ WKHLU LQYHVWLJDWLRQV :ROIUDP DQG &KULVWLDQnV VWXG\ EDVHG RQ LQWHUYLHZV PDGH LQ WKH PRXQWDLQV RI VRXWKHUQ :HVW 9LUJLQLD FODVVLILHG WKHLU VSHDNHUV VRFLRHFRQRPLFDOO\ DQG FDUULHG RXW TXDQWLWDn WLYH DQDO\VHV RI PDQ\ RI WKH OLQJXLVWLF IRUPV WKH\ GLVFXVV WKXV SURn YLGLQJ WKH VSHDNHU DQG IUHTXHQF\ FRQWH[WV IRU WKHLU GDWD
PAGE 46

7KLV VWXG\ LV EDVHG RQ D UHSUHVHQWDWLYH VDPSOH RI IRUW\ LQIRUn PDQWV LQ D 6RXWKHUQ $SSDODFKLDQ FRPPXQLW\ RI DSSUR[LPDWHO\ SHUn VRQV ,W TXDQWLILHV WKH OLQJXLVWLF IHDWXUHV LW H[DPLQHV ERWK LQ WHUPV RI ZKLFK VSHDNHU XVHG WKHP DQG LQ WHUPV RI SRVVLEOH RFFXUUHQFH RI WKH IHDWXUH ZKHQHYHU SRVVLEOHf ,W FRQWUROV WKH VRFLDO VLWXDWLRQ LQ ZKLFK LWV GDWD RFFXU VHH WKH GLVFXVVLRQ RI WKH HWKQRJUDSKLF SDUDPHWHUV DQG WKH UROH WKLV ILHOGZRUNHU DGRSWHG IRU KLPVHOI ODWHU LQ WKLV FKDSWHUf 7KLV VWXG\ FRQWUROV WKH WDVN LWV LQIRUPDQWV ZHUH SHUIRUPLQJ E\ HOLFLWn LQJ RQO\ H[SRVLWRU\ H[SODQDWRU\ DQG GHVFULSWLYHf GLVFRXUVHV DQG LW FRQWUROV WKH OLQJXLVWLF FRQWH[W RI LWV GDWD E\ FRQVLGHULQJ WKH VHQWHQFH DQG HVSHFLDOO\ WKH GLVFRXUVH FRQWH[WV RI GDWD )LHOGZRUN 3URFHGXUHV 7KH ILHOGZRUN XSRQ ZKLFK WKLV GLVVHUWDWLRQ LV EDVHG ZDV FDUULHG RXW RYHU D SHULRG RI DERXW WZR PRQWKV IURP 'HFHPEHU WKURXJK )HEn UXDU\ 7KH ILHOGZRUNHUUHVHDUFKHU VSHQW PRVW RI KLV WLPH LQ WKH FRPPXQLW\ RI :KLWH 3LQH GXULQJ WKLV SHULRG 7KLV VHFWLRQ GHWDLOV WKH SURFHVV ZKHUHE\ KH VHW XS XQGHUWRRN DQG FRPSOHWHG KLV ILHOGZRUN ,W DOVR SURYLGHV WKH UDWLRQDOH IRU WKH W\SH RI LQWHUYLHZ DQG WKH HWKQRn JUDSKLF SDUDPHWHUV DGRSWHG $OWRJHWKHU VL[ ZHHNV ZHUH GHYRWHG WR WKH DFWXDO LQWHUYLHZLQJ RQH ZHHN LQ WKH ILHOGf WR SUHOLPLQDU\ ILHOGZRUN DQG D SHULRG RI VHYHUDO ZHHNV WR SUHSDUDWLRQ EHIRUH KH UHDFKHG WKH ILHOGZRUN VLWH 7ZR VWHSV ZHUH WDNHQ EHIRUH WKH UHVHDUFKHU UHDFKHG WKH :KLWH 3LQH VLWH )LUVW DQ HWKQRJUDSK\ RI WKH :KLWH 3LQH DQG VXUURXQGLQJ DUHDV ZDV

PAGE 47

SUHSDUHG $V WKRURXJK DQG DV EURDG DQ HWKQRJUDSK\ DV SRVVLEOH LV LQn GLVSHQVDEOH WR VXFFHVVIXO DQG DFFXUDWH DQWKURSRORJLFDO DQG OLQJXLVWLF ILHOGZRUN ,W LV QHFHVVDU\ WR H[SODLQ WKLV SRLQW LQ UHJDUG WR OLQJXLVn WLF UHVHDUFK LQ JHQHUDO DQG WR WKLV SURMHFW LQ SDUWLFXODU 6SHHFK LV VRFLDO EHKDYLRU SDU H[FHOOHQFH $V +\PHV LQGLFDWHV LW LV WKH QH[XV EHWZHHQ ODQJXDJH DQG VRFLDO OLIH f :H FDQQRW DFFXUDWHO\ GHVFULEH ODQJXDJH RU DV 0DOLQRZVNL ZRXOG VD\ PHDQLQJf ZLWKRXW UHIHUHQFH WR LWV UROH LQ VRFLHW\ DQG WKH VHWWLQJ SDUWLFLSDQWV HYHQWV DFWV QRUPV HWF ZKLFK LW LQYROYHV 6SHHFK PXVW EH YLHZHG DV SHUPHDWLQJ DQG QRW MXVW RYHUOD\LQJ PRVW VRFLDO EHKDYLRU WKHUHIRUH GHn VFULSWLRQ RI VXFK EHKDYLRU PXVW PDNH UHIHUHQFH WR ODQJXDJH DQG LWV IRUPV 1R DVSHFW RI D FXOWXUH FDQ DFFXUDWHO\ EH GHVFULEHG ZLWKRXW H[SOLFDn WLQJ LWV LQWHUUHODWLRQVKLSV ZLWK DQG GHSHQGHQFLHV RQ RWKHU DVSHFWV RI WKH FXOWXUH 7KLV KDV EHHQ PRUH RU OHVV D[LRPDWLF VLQFH 0DOLQRZVNLnV HWKQRJUDSKLF ZRUN DPRQJ WKH 7UREULDQG ,VODQGHUV PRUH WKDQ VL[W\ \HDUV DJR 0DOLQRZVNL LQVLVWHG WKDW D UHVHDUFKHU DSSURDFK D ZD\ RI OLIH DV D ZKROH DV IXOO RI LQWHUGHSHQGHQFLHV DV DQ LQWHJUDWLRQ RI OLIH 2QO\ WKH DSSOLFDWLRQ RI WKH PRVW ULJRURXV WHFKQLTXHV DQG VWDQGDUGV IRU WKH FROOHFWLRQ RI GDWD RI DOO NLQGVf§PDWHULDO OLQJXLVWLF WRSRJUDSKLFDO SHUVRQDO FHUHPRQLDO DPRQJ RWKHUVf§FRXOG HQDEOH WKH DGHTXDWH H[SOLFDn WLRQ RI WKH FRQWH[W RI VLWXDWLRQ WR XVH WKH WHUP 0DOLQRZVNL f KLPVHOI FRLQHG $OO SHUWLQHQW GDWD PXVW LQIRUP DQ XQGHUVWDQGLQJ RI D FRQWH[W RI VLWXDWLRQ EHIRUH D JHQHUDOL]DWLRQ FDQ EH PDGH LQ RWKHU ZRUGV )RU 0DOLQRZVNL D FRQWH[W RI VLWXDWLRQ LV DW WKH VDPH WLPH

PAGE 48

EURDGHU DQG LPPHQVHO\ PRUH XVHIXO WKDQ WKH FRQFHSW RI D OLQJXLVWLF FRQWH[W (YHQ DV LQ WKH UHDOLW\ RI VSRNHQ RU ZULWWHQ ODQJXDJHV D ZRUG ZLWKRXW nOLQJXLVWLF FRQWH[Wn LV D PHUH ILJPHQW DQG VWDQGV IRU QRWKLQJ E\ LWVHOI VR LQ WKH UHDOLW\ RI D VSRNHQ OLYLQJ WRQJXH WKH XWWHUDQFH KDV QR PHDQLQJ H[FHSW LQ WKH nFRQWH[W RI VLWXDWLRQn f ,Q DGGLWLRQ WR WKH PDQ\ NLQGV RI GDWD 0DOLQRZVNL FRQVLGHUHG XVHIXO KH DOVR DGYRFDWHG WKDW D UHVHDUFKHU NHHS WZR NLQGV RI SHUVRQDO UHFRUGV ZKLFK VKRXOG FRQVWLWXWH SDUWV RI KLV ILHOG UHFRUGV .DEHUU\ f f $Q HWKQRJUDSKLF GLDU\ RI GDLO\ DFWLYLWLHV DQG REVHUYDWLRQV QRWn LQJ ZKDW LV WKH QRUPDO DQG WKH W\SLFDO DQG ZKDW LV QRW WKH NLQG RI LQIRUPDWLRQ WKDW LV QRW HOLFLWDEOH E\ TXHVWLRQV DQG DQn VZHUV RI D FRPPXQLW\nV UHVLGHQWV 0DOLQRZVNL FDOOHG VXFK LQIRU PDWLRQ WKH LPSRQGHUDELOLD RI DFWXDO OLIH 7KH SUHVHQW UHn VHDUFKHU NHSW VXFK D GLDU\ ZKLOH LQ WKH ILHOG D GLDU\ ZKLFK DOVR UHFRUGHG WKH DFFRXQWV RI KLV VXFFHVVHV DQG IDLOXUHV DQG PLVWDNHV LQ WKH ILHOG f $ FRUSXV LQVFULSWLRQXP ZKLFK HQWDLOHG WKH UHFRUGLQJ LQ WKH QDWLYH ODQJXDJH RI QDUUDWLYHV RSLQLRQV W\SLFDO XWWHUDQFHV P\WKV IRONORUH PDJLFDO IRUPXODH DQG QDWLYH H[SODQDWLRQV DQG LQWHUSUHWDWLRQV RI FXVWRPV DQG EHOLHIV .DEHUU\ S f 6LQFH WKLV UHVHDUFKHU FROOHFWHG RQO\ RQH W\SH RI GLVFRXUVH H[n SRVLWRU\ DV GHILQHG LQ FKDSWHU WZRf KLV IRUW\ ILYH KRXUV RI WDSHG H[SODQDWLRQV DQG GHVFULSWLRQV FRQVWLWXWH KLV FRUSXV LQn VFULSWLRQXP

PAGE 49

%HIRUH UHWXUQLQJ WR WKH H[SODQDWLRQ RI KRZ DQ HWKQRJUDSKLF VXPn PDU\ RI WKH :KLWH 3LQH FRPPXQLW\ ZDV SUHSDUHG OHW XV ORRN PRUH FORVHO\ DW 0DOLQRZVNLnV YLHZ RI FRQWH[W DQG H[SORUH DQ LQVWDQFH IURP :KLWH 3LQH ZKHUH ZH PXVW NQRZ WKH FRQWH[W RI VLWXDWLRQ WR IXOO\ XQn GHUVWDQG FHUWDLQ OLQJXLVWLF EHKDYLRU $V D UHVXOW RI KLV ILHOGZRUN H[SHULHQFH 0DOLQRZVNL IRUPXODWHG WKH WZR FRQFHSWV FRQWH[W RI FXOWXUH DQG FRQWH[W RI VLWXDWLRQ WKH ODWn WHU PHQWLRQHG DERYH %RWK KDYH WR GR ZLWK KRZ PHDQLQJ LV FUHDWHG E\ ODQJXDJH $ KHOSIXO UHGHILQLWLRQ RI WKHVH FRQFHSWV IRU OLQJXLVWLFV KDV EHHQ SURYLGHG E\ 5 )LUWK Ef RQH RI 0DOLQRZVNLnV VWXGHQWV WR H[SUHVV PRUH VDWLVIDFWRULO\ KRZ ODQJXDJH PHDQV $FFRUGLQJ WR )LUWK 7KH FRQWH[W RI FXOWXUH LV WKH HQYLURQPHQW IRU WKH WRWDO VHW RI >WKH RSWLRQV LQ EHKDYLRU WKDW DUH DYDLODEOH WR WKH LQGLYLGXDO LQ KLV H[LVWHQFH DV VRFLDO PDQ@ ZKLOH WKH FRQWH[W RI VLWXDWLRQ LV WKH HQYLURQPHQW RI DQ\ VHOHFWLRQ WKDW LV PDGH IURP ZLWKLQ WKHP +DO LGD\ f )RU )LUWK WKHQ WKH WZR W\SHV RI FRQWH[W IRUPXODWHG E\ 0DOLQRZVNL SUHn VHQW WKH GLVWLQFWLRQ EHWZHHQ ZKDW LV SRWHQWLDO DQG ZKDW LV DFWXDO $JDLQ DFFRUGLQJ WR +DOOLGD\ WKH FRQWH[W RI FXOWXUH GHILQHV WKH SRWHQn WLDO WKH UDQJH RI SRVVLELOLWLHV WKDW DUH RSHQ 7KH DFWXDO FKRLFH DPRQJ WKHVH SRVVLELOLWLHV WDNHV SODFH ZLWKLQ D JLYHQ FRQWH[W RI VLWXDWLRQ f )LUWKfV YHUVLRQ FRQVHTXHQWO\ HPSKDVL]HV WKH YDOXH RI FRQWH[W RI VLWXDWLRQ IRU OLQJXLVWLFV ZKLOH DW WKH VDPH WLPH LPSO\LQJ WKDW FRQn WH[W RI FXOWXUH KDV OLWWOH YDOXH IRU WKH OLQJXLVW 7KH JUHDW XVHIXOQHVV RI WKH FRQFHSW RI FRQWH[W RI VLWXDWLRQ LQ )LUWKnV GHILQLWLRQ IRU OLQJXLVWV OLHV LQ LWV VWUHVV RQ WKH W\SLFDO

PAGE 50

UDWKHU WKDQ WKH DFFLGHQWDO DV DQ DSSURSULDWH REMHFW RI VWXG\ )LUWKnV YLHZ DOVR PDNHV WKH LPSRUWDQW LPSOLFDWLRQ WKDW WKHUH LV QR QHFHVVDU\ RQHWRRQH UHODWLRQVKLS EHWZHHQ DQ XWWHUDQFH DQG LWV PHDQLQJ 7KLV LPSOLFDWLRQ LV PRVW YDOXDEOH ZKHQ ZH H[DPLQH W\SLFDO EHKDYLRU 7KH W\SLFDO EHKDYLRU DQ XWWHUDQFH LQ WKLV FDVHf IURP WKH :KLWH 3LQH FRUSXV WR EH H[SORUHG EULHIO\ KHUH LV WKH H[SUHVVLRQ GRQnW NQRZ $W WLPHV LQ WKH LQWHUYLHZV WKLV H[SUHVVLRQ EHFDPH DOPRVW DQQR\n LQJO\ IUHTXHQW &RQVLGHU DQ H[FHUSW IURP DQ LQWHUYLHZ ZLWK D WKLUW\ QLQH\HDUROG KRXVHZLIH )LHOGZRUNHU :K\ VKRXOG SHRSOH EH SURXG RI :KLWH 3LQH" :KDW ZRXOG \RX VD\" ,QIRUPDQW :HOO DV D FRPPXQLW\ WKLQN LWnV XK LWnV D JRRG FRPPXQLW\ WR OLYH LQ WR UDLVH \RXU FKLOGUHQ LQ :HOO GRQnW NQRZ 7KH FKXUFKHV WKH VFKRROV HYHU\WKLQJ WKLQN LWnV MXVW D GRQnW NQRZ OLNH LW WKLQN LWnV WKDWnV ZK\ WKLQN LWnV D JRRG FRPPXQLW\ LV EHFDXVH OLNH LW XKKXK XKKXKf DQG GRQnW NQRZ 2I FRXUVH LW PD\ EH WKDW WKH LQIRUPDQW GRHV QRW NQRZ KRZ WR DUWLFn XODWH KHU IHHOLQJV KHUH RU SHUKDSV VKH LQ IDFW GRHV QRW NQRZ ZK\ VKH VKRXOG EH SURXG RI :KLWH 3LQH HYHQ WKRXJK VKH KDG MXVW VWDWHG EHIRUH WKH ILHOGZRUNHUnV TXHVWLRQV WKDW WKH UHVLGHQWV RI WKH FRPPXQLW\ VKRXOG EH SURXG RI :KLWH 3LQH %XW WKLV FDQ KDUGO\ DFFRXQW IRU WKHUH EHLQJ VR PDQ\ RFFXUUHQFHV LQ WKLV H[FHUSW RI VR GHFHSWLYHO\ VKRUW DQ H[SUHVVLRQ WKUHH WLPHV LQ DERXW WZHQW\ VHFRQGVf 7KHUH DUH DW OHDVW WKUHH GLIIHUn HQW f, GRQnW NQRZnV WR EH IRXQG LQ WKH FRUSXV WZR RI ZKLFK DUH H[HPn SOLILHG KHUH $OWKRXJK WKLV FDQQRW EH DV FOHDUO\ VHHQ IURP WKH ZULWWHQ WUDQVFULSW WKH UHVHDUFKHU FOHDUO\ LGHQWLILHG DW OHDVW WKUHH GLVWLQFW PHDQLQJV IRU WKLV H[SUHVVLRQ

PAGE 51

f $ KHVLWDWLRQ GRQnW NQRZ ZKLFK IUHTXHQWO\ RFFXUV DV LQ RXU H[FHUSW ZLWK ZHOO 7KLV H[SUHVVLRQ EX\V D OLWWOH WLPH ZKLOH WKH VSHDNHU GHFLGHV H[DFWO\ KRZ WR SKUDVH DQ DQVZHU f $Q LJQRUDQFH GRQnW NQRZ H[HPSOLILHG E\ WKH RWKHU WZR LQn VWDQFHV ZKLFK LQGLFDWHV WKH VSHDNHUnV UHFRJQLWLRQ RI KLVKHU LQDELOLW\ WR DQVZHU RU H[SUHVV KLPKHUVHOI f $ UHOXFWDQFH GRQnW NQRZ ZKLFK LV PRVW RIWHQ XVHG DV DQ LQLn WLDO UHSO\ WR D TXHVWLRQ LQ RUGHU WR VKRZ DQ LQIRUPDQWnV LPPHn GLDWH UHOXFWDQFH WR UHYHDO KLVKHU WKRXJKWV RQ D VXEMHFW 7KLV GLIIHUV IURP WKH ILUVW GRQnW NQRZ DERYH 7KLV GRQnW NQRZ LV QRW D UHIXVDO KRZHYHU LQIRUPDQWV DOPRVW LQYDULDEO\ ZHQW RQ WR JLYH D GLUHFW DQVZHU DIWHU VKRZLQJ LQLWLDO UHOXFn WDQFH 7KH SUHSDUDWLRQ RI WKH HWKQRJUDSK\ RI :KLWH 3LQH SUHVHQWHG DERYH LQFOXGHG WKH PDMRU VRXUFHV RQ WKH 6RXWKHUQ $SSDODFKLDQ FXOWXUH DQG UHn JLRQ .HSKDUW &DPSEHOO :HOOHU )RUG 9DQFH +LFNV DQG RWKHUVf ,W DOVR LQFOXGHG PDMRU VRXUFHV RQ WKH (DVW 7HQQHVVHH DUHD )ROPVEHH HW DO '\NHPDQ DQG RWKHUVf 6SHn FLDO DWWHQWLRQ ZDV JLYHQ WR WKH IHZ VRXUFHV RQ -HIIHUVRQ &RXQW\ 7HQn QHVVHH DYDLODEOH LQ ORFDO (DVW 7HQQHVVHH OLEUDULHV )URP WKH (DVW 7HQQHVVHH 'HYHORSPHQW 'LVWULFW RIILFH LQ .QR[YLOOH ZHUH REWDLQHG VXPn PDULHV RI WKH FHQVXV UHSRUWV DQG RWKHU YLWDO VWDWLVWLFV RQ WKH :KLWH 3LQH FRPPXQLW\ ,Q DGGLWLRQ PXFK XVHIXO LQIRUPDWLRQ ZDV JDWKn HUHG IURP WKH LQIRUPDQWV UHJDUGLQJ ORFDO DIIDLUV 7KH VHFRQG VWHS WDNHQ DIWHU WKH SUHSDUDWLRQ RI DV PXFK RI DQ HWKn QRJUDSK\ DV ZDV SRVVLEOH IURP ZULWWHQ VRXUFHV ZDV WKH UHVHDUFKHUnV

PAGE 52

PDNLQJ DUUDQJHPHQWV ZLWK WKH FRQWDFW SHUVRQV LQ :KLWH 3LQH WR VSHQG DQ LQGHILQLWH SHULRG RI WLPH ZLWK WKHP DQG KLV H[SODLQLQJ ZKDW NLQG RI LQYHVWLJDWLRQ KH ZRXOG XQGHUWDNH DQG ZKR KH ZRXOG OLNH WR LQWHUYLHZA $ FRQWDFW SHUVRQ LV DQ LQYDOXDEOH EULGJH EHWZHHQ D ILHOGZRUNHU DQG D FRPPXQLW\ ,Q LW D ILHOGZRUNHU LV LQLWLDOO\ D WRWDO VWUDQJHU +H FDQn QRW UHVLGH ORQJ HQRXJK WR EHFRPH D IDPLOLDU PHPEHU RI WKH FRPPXQLW\ LQ :KLWH 3LQH RU DQRWKHU W\SLFDO VPDOO WRZQ LQ (DVW 7HQQHVVHH WKLV ZRXOG SUREDEO\ WDNH VHYHUDO \HDUV LQ DQ\ FDVHf 7KLV UHVHDUFKHUnV FRQn WDFW SHUVRQV LQWURGXFHG KLP WR PDQ\ RI KLV LQIRUPDQWV DQG JDYH KLP PDQ\ LQVLJKWV LQWR WKH OLIH RI WKH ORFDO FRPPXQLW\ ,Q :KLWH 3LQH LWVHOI IRXU SUREOHPV KDG WR EH UHVROYHG EHIRUH DFWXDO ILHOGZRUN LH LQWHUYLHZLQJf FRXOG EHJLQ )LUVW WKH ILHOG ZRUNHU KDG WR EH WKRURXJKO\ IDPLOLDU ZLWK WKH OD\RXW RI WKH WRZQ DQG WKH PRVW LPSRUWDQW EDVLF IDFWV RI GDLO\ OLIH LQ WKH FRPPXQLW\ ,Q WKLV KH ZDV SULPDULO\ DVVLVWHG E\ KLV FRQWDFW SHUVRQV 7KLV LQFOXGHG OHDUQn LQJ WKH SULQFLSDO DFWLYLWLHV RI WKH WRZQVSHRSOH DQG WKH SULQFLSDO VRFLDO LQVWLWXWLRQV LQ WKH FRPPXQLW\ +H DOVR KDG WR GHWHUPLQH WKH SULQFLSDO FRQFHUQV RI OLIH IRU WKH FRPPXQLW\ +H ZDV DEOH WR GR WKLV LQ WKH FRXUVH RI WKH LQWHUYLHZV 6HFRQG KH KDG WR HVWDEOLVK WKH HWKQRJUDSKLF SDUDPHWHUV RI KLV ZRUN 7KLV LQFOXGHG KLV UROH LQ WKH FRPPXQLW\ GXULQJ KLV VWD\ DQG LQ WKH LQWHUYLHZ VLWXDWLRQ 7KLUG KH KDG WR FKRRVH D ORFDWLRQ IRU WKH LQWHUYLHZV VSHFLILFDOO\ ZKHUH WKH\ FRXOG EH FRQGXFWHG FRPIRUWDEO\

PAGE 53

)RXUWK KH KDG WR GHWHUPLQH WKH W\SH RI GLVFRXUVH WR HOLFLW DQG KRZ WR GHYLVH D VWDQGDUG LQWHUYLHZ IRUPDW ZKLFK ZRXOG EHVW HOLFLW LW 7KH HWKQRJUDSKLF SDUDPHWHUV ZHUH DGRSWHG DFFRUGLQJ WR 0DOLQRZVNLnV VXJJHVWLRQV +H VWDWHV WKDW D ILHOGZRUNHU VKRXOG PDNH HYHU\ DWWHPSW WR EH DQ DFWLYH SDUWLFLSDQW UDWKHU WKDQ D SDVVLYH REVHUYHUSDUWLDO SDUWLFn LSDQW LQ WKH FXOWXUH KH LV VWXG\LQJ +H GUDZV RQ KLV RZQ H[SHULHQFH DPRQJ WKH 7UREULDQGHUV LQ VKRZLQJ ZK\ WKLV LV QHFHVVDU\ 7KHUH LV DOO WKH GLIIHUHQFH EHWZHHQ D VSRUDGLF SOXQJLQJ LQWR WKH FRPSDQ\ RI QDWLYHV DQG EHLQJ UHDOO\ LQ FRQWDFW ZLWK WKHP :KDW GRHV WKLV ODWWHU PHDQ" 2Q WKH (WKQRJUDSKHUnV VLGH LW PHDQV WKDW KLV OLIH LQ WKH YLOODJH ZKLFK DW ILUVW LV D VWUDQJH VRPHn WLPHV LQWHQVHO\ LQWHUHVWLQJ DGYHQWXUH VRRQ DGRSWV TXLWH D QDWn XUDO FRXUVH YHU\ PXFK LQ KDUPRQ\ ZLWK KLV VXUURXQGLQJV 6RRQ DIWHU KDG HVWDEOLVKHG P\VHOI LQ 2PDUDNDQD EHJDQ WR WDNH SDUW LQ D ZD\ LQ WKH YLOODJH OLIH WR ORRN IRUZDUG WR WKH LPn SRUWDQW RU UHVWLYH HYHQWV WR WDNH SHUVRQDO LQWHUHVW LQ WKH JRVVLS DQG WKH GHYHORSPHQWV RI WKH VPDOO YLOODJH RFFXUUHQFHV WR ZDNH XS HYHU\ PRUQLQJ WR D GD\ SUHVHQWLQJ LWVHOI WR PH PRUH RU OHVV DV LW GRHV WR WKH QDWLYH$V ZHQW RQ P\ PRUQLQJ ZDON WKURXJK WKH YLOODJH FRXOG VHH LQWLPDWH GHWDLOV RI IDPLO\ OLIH, FRXOG VHH WKH DUUDQJHPHQWV IRU WKH GD\nV ZRUN SHRSOH VWDUWLQJ RQ WKHLU HUUDQGV RU JURXSV RI PHQ DQG ZRPHQ EXV\ DW VRPH PDQXIDFWXULQJ WDVNV 4XDUUHOV MRNHV IDPLO\ VFHQHV HYHQWV XVXDOO\ WULYLDO VRPHWLPHV GUDPDWLF EXW DOZD\V VLJQLILn FDQW IRUPHG WKH DWPRVSKHUH RI P\ GDLO\ OLIH DV ZHOO DV RI WKHLUV f 7KLV UHVHDUFKHU RI FRXUVH LV QHLWKHU D QDWLYH QRU D UHVLGHQW RI WKH :KLWH 3LQH DUHD +H ZDV D VWUDQJHU WR KLV LQIRUPDQWV LQLWLDOO\ $W WKH VDPH WLPH KH LV D QDWLYH RI (DVW 7HQQHVVHH DQG HVSHFLDOO\ WKDW KH LV D UHODWLYH RI ORQJWLPH :KLWH 3LQH UHVLGHQWV HQDEOHG KLP WR HVWDEn OLVK LPPHGLDWH UDSSRUW ZLWK KLV LQIRUPDQWV ,W ZDV DOVR UHFRJQL]HG WKDW WKH LQWHUYLHZ VLWXDWLRQ ZRXOG QHFHVVDULO\ EH DQ DUWLILFDO RQH *ROGVWHLQ GHILQHV DQ DUWLILFLDO VLWXDWLRQ DV RQH LQ ZKLFK DQ LQIRUPDQW SURYLGHV LQIRUPDWLRQ DW WKH LQVWLJDWLRQ RI WKH FROOHFWRU f

PAGE 54

7KH DUWLILFLDO LQWHUYLHZ VLWXDWLRQ KRZHYHU LV KH DGGV WKH RQO\ QDWXUDO FRQWH[W IRU HOLFLWLQJ LQIRUPDWLRQ IURP DQ LQIRUPDQW SS f ,Q RWKHU ZRUGV VRPH W\SH RI GLUHFWLYH HOLFLWDWLRQ LV QHFn HVVDU\ KRZHYHU ZLOOLQJ WKH LQIRUPDQWV DUH WR SDUWLFLSDWH VLQFH WKH\ GR QRW DOZD\V VSRQWDQHRXVO\ YROXQWHHU GLVFRXUVH HVSHFLDOO\ H[SRVLn WLRQV *LYHQ WKHVH UHDOLWLWHV WKH UHVHDUFKHU GHFLGHG WR DGRSW WKH UROH RI D FROOHJH VWXGHQW FROOHFWLQJ JHQHUDO LQIRUPDWLRQ IRU D UHVHDUFK SDSHU IURP D FURVVVHFWLRQ RI WKH SHRSOH LQ WKH WRZQ VWDWLQJ WKDW KH ZDV LQWHUHVWHG LQ :KLWH 3LQH EHFDXVH KH YLHZHG LW DV D W\SLFDO (DVW 7HQQHVVHH VPDOO WRZQ 7KLV LV VLPLODU WR WKH UROH RI KLVWRULDQ *ROGn VWHLQ DGYLVHV IRU IRONORULVWV ,Q WKLV UROH WKH UHVHDUFKHU VWDWHV WKDW KH LV QRW LQWHUHVWHG LQ RIILFLDO RSLQLRQV RU MXVW LQ WKH RSLQLRQV RI WKH ROGHVW DQGRU PRVW UHVSHFWHG PHPEHUV RI WKH FRPPXQLW\ EXW WKDW KH LV VHHNLQJ LQVWHDG WKH LGHDV DQG YLHZV RI D FURVVVHFWLRQ RI WKH FRPn PXQLW\nV DYHUDJH FLWL]HQV +H HPSKDVL]HV WKDW KH ZDQWV UHVSRQVHV IURP ERWK QDWLYH DQG QRQQDWLYH UHVLGHQWV IURP ROG DQG \RXQJ IURP PHPEHUV RI WKH ZKROH FRPPXQLW\ ZKDWHYHU WKHLU VRFLDO VWDQGLQJ 7KH UHVHDUFKHU GHFLGHG WR KDYH WKH LQWHUYLHZV LQ WKH LQIRUPDQWnV KRPH UDWKHU WKDQ LQ WKH FRQWDFW SHUVRQVn KRPH +H DOVR GLVFDUGHG WKH LGHD RI LQWHUYLHZLQJ LQ WKH LQIRUPDQWnV SODFH RI EXVLQHVV RU DW VRPH RWKHU QHXWUDO SXEOLF VLWH 0RVW LQIRUPDQWV UHDGLO\ LQYLWHG WKH UHn VHDUFKHU LQWR WKHLU RZQ KRPHV DQG IRU WKLV UHDVRQ DQG RWKHUV LW DSn SHDUHG WKDW LQIRUPDQWV ZRXOG EH PRVW FRPIRUWDEOH WKHUH 0RUHRYHU D ILHOGZRUNHU DFWXDOO\ KDV PRUH FRQWURO RYHU WKH LQWHUYLHZ LQ WKH LQIRUn PDQWnV KRPH 7KHUH KH KDV JUHDWHU GLVFUHWLRQ RYHU WKH SDFLQJ RI WKH

PAGE 55

LQWHUYLHZ DQG RYHU VLJQDOLQJ WKH HQG RI WKH LQWHUYLHZ DQG KLV LPSHQGLQJ GHSDUWXUH ,W LV HDVLHU WR WHOO DQ LQIRUPDQW WKDW WKH LQWHUYLHZ LV RYHU WR SDFN XS WKH HTXLSPHQW DQG WR VD\ JRRGE\H WKDQ LW LV WR WHOO DQ LQIRUPDQW WKDW KHVKH FDQ JR KRPH QRZ ,W LV DOVR OHVV RI DQ LPSRn VLWLRQ LI WKH ILHOGZRUNHU WDNHV FDUH RI KLV RZQ WUDQVSRUWDWLRQ LQVWHDG RI DVNLQJ WKH LQIRUPDQW WR DUUDQJH KLVKHU RZQ WUDQVSRUWDWLRQ )Ln QDOO\ LQIRUPDQWV DSSHDUHG PRUH OLNHO\ WR YHQWXUH LQIRUPDWLRQ LQ WKH VHFXUHVW DQG PRVW IDPLOLDU HQYLURQPHQW IRU WKHP WKHLU RZQ KRPHV 7KH IRXUWK WKLQJ WKDW WKH UHVHDUFKHUILHOGZRUNHU KDG WR GHWHUPLQH EHIRUH EHJLQQLQJ IXOOVFDOH LQWHUYLHZLQJ ZDV WKH W\SHVf RI GLVFRXUVH KH ZRXOG HOLFLW DQG WKH LQWHUYLHZ IRUPDW WR HOLFLW LW WKHPf +LV DSn SURDFK ZDV EDVHG RQ WKH W\SRORJ\ RI GLVFRXUVH JHQUHV QDUUDWLYH H[SRn VLWRU\ SURFHGXUDO DQG KRUWDWRU\f LQ /RQJDFUH f *LYHQ WKH WLPH OLPLWDWLRQV DQG WKH HDVH RI GHYLVLQJ TXHVWLRQV WKH UHVHDUFKHU GHFLGHG WR FRQFHQWUDWH RQ H[SRVLWRU\ GLVFRXUVH $ VWDQGDUG VHW RI TXHVWLRQV ZDV DVNHG RI DOO LQIRUPDQWV UHJDUGOHVV RI DJH VRFLRHFRQRPLF EDFNn JURXQG RU OHYHO RI HGXFDWLRQDO DWWDLQPHQW 1R GLIILFXOWLHV ZHUH H[n SHULHQFHG LQ HOLFLWDWLRQ DFFRUGLQJ WR WKLV SODQ 7KHVH OLPLWDWLRQV DOVR KDG VHYHUDO DGYDQWDJHV )LUVW XVLQJ VWDQn GDUG TXHVWLRQV JLYHV WKH VWXG\ VWULFW FRQWUROV 7KHQ H[SRVLWRU\ GLVn FRXUVH VHHPV WR EH WKH PRVW SODXVLEOH WR HOLFLW JLYHQ WKH HWKQRJUDSKLF SDUDPHWHUV RI WKLV VWXG\ 0RVW RI WKH VWDQGDUG TXHVWLRQV KDG WR GR ZLWK HYHU\GD\ OLIH LQ WKH WRZQ 2WKHUV GHDOW ZLWK VLWXDWLRQV WKDW ZHUH RI ZLGHVSUHDG DQG IUHTXHQW FRPPHQW DERXW WRZQ VXFK DV WKH UHSXWDWLRQ RI -HIIHUVRQ &RXQW\nV QHLJKERU &RFNH &RXQW\ IRU YLROHQFH DQG

PAGE 56

ODZOHVVQHVVf 7KHVH DUH VDIH WRSLFV XQOLNHO\ WR JLYH RIIHQVH \HW RI XQLYHUVDO LQWHUHVW %HIRUH WKH LQWHUYLHZ LWVHOI DQG WKH VDPSOH DUH GLVFXVVHG D IHZ PRUH FRPPHQWV QHHG WR EH PDGH DERXW KRZ WKH ILHOGZRUNHU HVWDEOLVKHG UDSSRUW ZLWK KLV LQIRUPDQWV $V *ROGVWHLQ SRLQWV RXW WKH ILHOGZRUNHU VKRXOG WDNH HYHU\ RSSRUWXQLW\ WR SDUWLFLSDWH LQ WKH GDLO\ OLYHV RI WKH SHRSOH DQG WKH FRPPXQLW\ KH LV VWXG\LQJ 7KLV UHVHDUFKHU YLVLWHG ORFDO FKXUFKHV DQG YDULRXV JDWKHULQJ SODFHV DQG PHHWLQJV FKDWWLQJ ZLWK SHRn SOH IUHTXHQWO\ RQ WKH VWUHHWV DQG DW OXQFK FRXQWHUV +H FRQWLQXDOO\ HPSKDVL]HG WKDW KH ZDV LQWHUHVWHG LQ LQWHUYLHZLQJ D FURVVVHFWLRQ RI WRZQVSHRSOH 7KH LQWHUYLHZ LWVHOI LV D GLUHFWLYH RQH EXW LW LV ORRVH DQG IOH[n LEOH ,W ZDV GLUHFWLYH LQVRIDU DV LW UHTXLUHG VSHFLILF YLWDO LQIRUPDn WLRQ IURP LQIRUPDQWV DJH OHQJWK RI UHVLGHQFH LQ :KLWH 3LQH DQG HOVHn ZKHUH OHYHO RI HGXFDWLRQ DWWDLQHG RFFXSDWLRQ KHOG DQG IDPLO\ EDFNn JURXQGf 7KH IL[HG TXHVWLRQV DVNHG RI DOO IRUW\ LQIRUPDQWV UHTXLUH H[SRVLWRU\ UHVSRQVHV f +RZ GRHV :KLWH 3LQH UHDFW WR QHZFRPHUV LQ WRZQ" f :KDW KDYH EHHQ WKH PRVW LPSRUWDQW FKDQJHV \RX KDYH VHHQ LQ :KLWH 3LQH ZKLOH \RX KDYH OLYHG KHUH" f :KDWnV D W\SLFDO GD\ OLNH IRU \RX" f :KDW GR \RX WKLQN PRVW SHRSOH LQ :KLWH 3LQH ZDQW WKH WRZQ WR EHFRPH" f :KDW DOO JRHV RQ RQ 3LQH 'D\" f :KDW GR \RX GR RQ 3LQH 'D\"

PAGE 57

f :K\ GRHV &RFNH &RXQW\ KDYH D EDG UHSXWDWLRQ" f +RZ GR ORFDO SHRSOH IHHO DERXW RXWVLGHUV PDNLQJ IXQ RI (DVW 7HQQHVVHDQV DQG WKH ZD\ WKH\ WDON" ,Q WKLV ZD\ VRPH XQLIRUPLW\ LQ LQWHUYLHZV ZDV HVWDEOLVKHG +RZHYHU WKH LQWHUYLHZV ZHUH QRW ULJLG )RU H[DPSOH QR LQIRUn PDQW ZDV DVNHG RQO\ WKHVH HLJKW TXHVWLRQV (DFK LQIRUPDQW ZDV DVNHG DGGLWLRQDO TXHVWLRQV GHSHQGLQJ RQ DJH RU EDFNJURXQG )RU LQVWDQFH LQn IRUPDQWV RYHU ILIW\ ZKR ZHUH QDWLYH RI WKH DUHD ZHUH DVNHG KRZ ORFDO SHRSOH IHOW ZKHQ 79$ FDPH LQWR WKH FRXQW\ LQ WKH nV DQG ERXJKW XS SUL]H IDUPODQG WR EH FRYHUHG E\ UHVHUYRLUV 6LPLODUO\ KLJK VFKRRO DJH LQIRUPDQWV ZHUH DVNHG KRZ WKH QHZ FRXQW\ZLGH FRPSUHKHQVLYH KLJK VFKRRO FRPSDUHG WR WKH ROG KLJK VFKRRO LQ :KLWH 3LQH 2WKHU TXHVWLRQV ZHUH DVNHG GHSHQGLQJ RQ WKH IORZ RI WKH FRQYHUVDWLRQ 2QH QRQGLUHFWLYH SULQFLSOH ZDV DGKHUHG WR WKURXJKRXW WKH LQWHUYLHZn LQJ KRZHYHU 7KLV FRQFHUQV WKH ODFN RI D WLPH OLPLW 2QFH WKH ILHOG ZRUNHU KDG DVNHG D TXHVWLRQ RQ VRPH VXEMHFW WKH LQIRUPDQW ZDV DOORZHG WR JLYH DV ORQJ D UHVSRQVH DV GHVLUHG 7KH ILHOGZRUNHU WRRN SDLQV QHLn WKHU WR LQWHUUXSW QRU WR LQIOXHQFH WKH LQIRUPDQWnV SDWWHUQ RI WKRXJKW 2QO\ ZKHQ WKH LQIRUPDQW VLJQDOHG DQ HQG WR D UHVSRQVH RU ZKHQ DQ LQIRUn PDQWnV UHVSRQVH ZDV FOHDUO\ UXQQLQJ RXW RI VWHDP GLG KH LQWUXGH ZLWK D FRPPHQW RU DQRWKHU TXHVWLRQ 7KH LQWHUYLHZV DYHUDJHG VOLJKWO\ PRUH WKDQ DQ KRXU LQ OHQJWK %XW WKH ILHOGZRUNHU VSHQW DW OHDVW WZLFH WKDW DPRXQW RI WLPH ZLWK WKH DYHUn DJH LQIRUPDQW H[FKDQJLQJ VPDOO WDON DQG HVWDEOLVKLQJ D UDSSRUW ZLWK LQn IRUPDQWV EHIRUH WKH DFWXDO WDSLQJ EHJDQ 7KH WLPH WDNHQ E\ WKH ILHOG

PAGE 58

ZRUNHU WR LQWURGXFH KLPVHOI DQG WR WHOO DERXW KLV IDPLO\ ZDV LQGLVSHQn VDEOH LQ HVWDEOLVKLQJ WKH XQLQKLELWHG UDSSRUW WKDW KH GHVLUHG 7KH LQn WHUYLHZHUnV IDPLO\ ZDV RI PRUH FRQFHUQ WR WKH LQIRUPDQWV WKDQ KLV PRn WLYHV IRU LQWHUYLHZLQJ ,Q KLV YLHZ WKH ILHOGZRUNHU ZDV DEOH WR HVWDEOLVK TXLWH JRRG UDSn SRUW ZLWK HDFK RI KLV LQIRUPDQWV DQG H[FHOOHQW UDSSRUW ZLWK QHDUO\ DOO RI WKHP 7KLV UHVXOWHG LQ QRW RQO\ D JRRG FRUSXV EXW DOVR D QXPEHU RI JRRG IULHQGVKLSV ZLWK LQGLYLGXDOV LQ :KLWH 3LQH 7KH 6DPSOH $FFRUGLQJ WR WKH 8QLWHG 6WDWHV &HQVXV WKH SRSXODWLRQ RI WKH WRZQ RI :KLWH 3LQH ZDV ,W KDG JURZQ WR DQ HVWLPDWHG E\ %XW WKH FRPPXQLW\ RI :KLWH 3LQH DV GHILQHG E\ LWV UHVLGHQWV LQn FOXGHV ERWK WKH DUHD RXWVLGH WKH FLW\ OLPLWV DQG WKH DGMDFHQW QHLJKERUn KRRG RI /HDGYDOH EULQJLQJ WKH WRWDO SRSXODWLRQ RI WKH DUHD LQ ZKLFK WKH LQWHUYLHZV ZHUH FRQGXFWHG WR DSSUR[LPDWHO\ SHUVRQV LQ 2I WKLV EDVH SRSXODWLRQ RI D VDPSOH RI IRUW\ UHVLGHQWV ZDV LQWHUn YLHZHG 7KLV FRQVWLWXWHV SHUFHQW RI WKH ZKROH 7KH LQWHUYLHZV DYHUDJH URXJKO\ RQH KRXU HDFK WKH VKRUWHVW EHLQJ WKLUW\ILYH PLQXWHV DQG WKH ORQJHVW PRUH WKDQ WZR KRXUV 7KH VDPSOH RI IRUW\ LQIRUPDQWV LV ERWK D EURDG DQG D UHSUHVHQWDWLYH FURVVVHFWLRQ RI WKH :KLWH 3LQH FRPPXQLW\ 7KH LQIRUPDQWV UHSUHVHQWHG DOO SRVWDGROHVFHQW DJH JURXSV DQG D ZLGH YDULHW\ RI VRFLRHFRQRPLF DQG HGXFDWLRQDO EDFNJURXQGV ,Q DJH WKH\ UDQJH IURP VL[WHHQ WR HLJKW\VHYHQ DV GLVWULEXWHG DPRQJ WKH IROORZLQJ FHOOV

PAGE 59

DQG RYHU 7RWDO 0DOH )HPDOH $V WKH VDPSOH ZDV WDNHQ FDUH ZDV H[HUFLVHG QRW WR KDYH WRR PDQ\ LQn IRUPDQWV IURP D JLYHQ DJH JURXS RU IURP HLWKHU VH[ 7KH ILHOGZRUNHUnV RYHUULGLQJ FRQFHUQ DV KH VSHQW KLV WLPH LQ WKH :KLWH 3LQH FRPPXQLW\ DQG KDG FRQWDFW ZLWK DOO VHFWRUV RI WKH SRSXODWLRQ ZDV WR LQWHUYLHZ DV ZLGH D YDULHW\ RI LWV UHVLGHQWV DV SRVVLEOH ,W ZDV QRW KLV SULPDU\ JRDO WR LQYHVWLJDWH VRFLDO RU VXEJURXS GLIIHUHQFHV LQ GLVFRXUVH RUJDQLn ]DWLRQ DPRQJ KLV LQIRUPDQWV 7KH EUHDNGRZQ RI WKH IRUW\ LQIRUPDQWV DFFRUGLQJ WR WKHLU OHYHOV RI HGXFDWLRQ LV DV IROORZV WK *UDGH 6RPH +LJK +LJK 6FKRRO 6RPH &ROOHJH &ROOHJH RU /HVV 6FKRRO *UDGXDWH :RUN *UDGXDWH )HPDOH 0DOH $FFRUGLQJ WR WKH FHQVXV RQO\ SHUFHQW RI :KLWH 3LQHnV SRSXn ODWLRQ GHSHQGHG RQ DJULFXOWXUH IRU LWV OLYHOLKRRG ZKLOH SHUFHQW GHSHQGHG RQ PDQXIDFWXULQJ WUDGH VHUYLFH DQG ILQDQFH LQGXVWULHV $SSUR[LPDWHO\ SHUFHQW RI WKH SRSXODWLRQ ZDV HPSOR\HG LQ FRQVWUXFn WLRQ DQG DOO RWKHU DUHDV )ROORZLQJ LV D EUHDNGRZQ RI WKH :KLWH 3LQH VDPSOH DFFRUGLQJ WR WKHLU HPSOR\PHQW E\ W\SH RI LQGXVWU\ 7KUHH ZKR ZHUH XQHPSOR\HG DUH LJQRUHG

PAGE 60

$JULFXOWXUH &RQVWUXFn WLRQ 0DQXIDFn WXULQJ 7UDGH DQG 6HUYLFH )LQDQFH 2WKHU b b b b b &HQVXV 3UHVHQW 6WXG\ ,QIRU PDQWV ,I IHPDOHV ZHUH QRW PHPEHUV RI WKH ODERU IRUFH WKH\ ZHUH FDWHJRUL]HG DFFRUGLQJ WR WKH HPSOR\PHQW RI WKH EUHDGZLQQHU RI WKHLU IDPLOLHV 7KH SUHVHQW VWXG\nV KLJKHU SHUFHQWDJH RI LQIRUPDQWV VXSSRUWHG E\ WUDGH VHUn YLFH DQG ILQDQFH WKDQ WKH SHUFHQWDJH RI WKRVH GHSHQGLQJ RQ PDQXIDFWXUn LQJ FRQWUDVWV ZLWK WKH SHUFHQWDJHV IRU WKH RYHUDOO :KLWH 3LQH DUHD 7KLV LV GXH WR WKHLU DYDLODELOLW\ 7KHUH ZHUH PRUH SHRSOH LQ WUDGH VHUYLFH DQG ILQDQFH SRVLWLRQV ZKR ZHUH DYDLODEOH IRU LQWHUYLHZV WKDQ LQ PDQXIDFWXULQJ $OWKRXJK QR FHQVXV ILJXUHV DUH DYDLODEOH RQ WKH OHQJWKV RI UHVLn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n VLYH GHYLFHV DQDO\]HG LQ FKDSWHU WKUHH WKURXJK ILYH ZHUH H[DPLQHG IRU GLIIHUHQFHV LQ IXQFWLRQ EHWZHHQ QDWLYHV RI :KLWH 3LQH DQG QRQQDWLYHV 1RQH EXW LQFLGHQWDO GLIIHUHQFHV LQ IUHTXHQF\ ZHUH IRXQG

PAGE 61

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f KDV VKRZQ FDUHIXO WUDQVFULSWLRQ LV DV LPSRUWDQW LQ FRQVLGHULQJ JUDPPDWLFDO IHDWXUHV DV LW LV IRU SKRQRORJLFDO RQHV ,W PXVW EH UHDOL]HG KRZHYHU WKDW DQ\ WUDQVFULSWLRQ FDQ QHYHU EH PRUH WKDQ DQ LPSHUIHFW UHSUHVHQWDWLRQ DQG DQ LQWHUSUHWDWLRQ DV ZHOO RI ZKDW LV RQ WDSH 7KLV LV FHUWDLQO\ WUXH ZKHQ D WUDQVFULEHU DWWHPSWV SKRQHWLF RU D PRGLILHG SKRQHWLF WUDQVFULSWLRQ DQG LW ZDV WUXH LQ WKH SUHVHQW FDVH ZKHQ WKH WUDQVFULEHU KDG WR GHWHUPLQH WKH SUHVHQFH RI FHUn WDLQ GHOHWLRQV DQG HVSHFLDOO\ ZKHQ KH WULHG WR EH FRQVLVWHQW LQ SXQFn WXDWLQJ D WUDQVFULSW RU LQ DVFHUWDLQLQJ VHQWHQFH ERXQGDULHV $ WUDQn VFULEHU TXLFNO\ UHFRJQL]HV WKDW GHLFWLFV DQG HVSHFLDOO\ FRQMXQFWLRQV PDUN WKH EHJLQQLQJV RI VHQWHQFHV %XW DQ LQIRUPDQWnV SDXVLQJ DQG SDFLQJ

PAGE 62

DUH DOVR FUXFLDO WR VHQWHQFH FODXVH DQG SKUDVH ERXQGDULHV 7KLV LV ZK\ WKH WDSH UHFRUGLQJ LWVHOI UHPDLQV WKH XOWLPDWH DXWKRULW\ 7KH WUDQVFULSWLRQ HPSOR\HG KHUH PDNHV QR DWWHPSW DW H\H GLDOHFW 2UWKRJUDSK\ ZDV PRGLILHG RQO\ WR LQGLFDWH VHYHUDO PLQRU LQVWDQFHV RI GHOHWLRQ VXFK DV f 7KH YRLFHG LQWHUGHQWDO LQ WKHP DQG WKDW LI GHOHWHG LV UHn SODFHG E\ DQ DSRVWURSKH DV LQ ZLWK nHP RU OLNH DWf f &ODXVH LQLWLDO WKDWnV DQG LWnV RIWHQ UHGXFHG SKRQHWLFDOO\ WR >V@ RU >V@ DQG WKHUHIRUH LQGLVWLQJXLVKDEOH DUH UHSUHVHQWHG IUHTXHQWO\ DV nV f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f ZHUH QRW UHSUHVHQWHG +HVLWDWLRQ SKHQRPHQD DV ZHOO DV WKH SDUHQWKHWLFDO \RX NQRZ PHDQ DQG RWKHU SKUDVHV DGGLQJ QRWKLQJ WR WKH FRQWHQW RI WKH LQWHUYLHZf DUH UHSUHVHQWHG LQ WKLV VWXG\nV LQWHUYLHZ WUDQVFULSWV IRU WKH VDNH RI PDNLQJ WKH WUDQVFULSW DV DFFXUDWH DV SRVVLEOH ,W LV DOVR SRVVLEOH WKDW VXFK SKHQRPHQD PLJKW KDYH VRPH GLVFRXUVH VLJQLILFDQFH DV PDUNHUV RI VHQWHQFHV RU RI SDUDJUDSKV LH FKDQJHV RU UHWXUQV WR WKHPHVf ,Q DQ\ FDVH SRVVLEO\ VLJQLILFDQW GDWD VKRXOG QRW EH GLVFDUGHG D SULRUL

PAGE 63

7KH XVH RI EUDFNHWV DQG SDUHQWKHVHV LQ WKH LQWHUYLHZ WUDQVFULSWV IROORZV WKH VXJJHVWLRQV RI ,YHV f 3DUHQWKHVHV VHUYH WR HQFORVH VKRUW LQWHUYLHZHU UHPDUNV UDUHO\ PRUH WKDQ WKH RFFDVLRQDO XKKXK RU KDP ZKLFK LQVXUHV DQ LQIRUPDQW WKDW WKH LQWHUYLHZHU LV LQWHQWO\ IROORZLQJ WKH LQIRUPDQWnV DFFRXQWf ZKLFK GLG QRW FXW VKRUW RU GHIOHFW DQ LQIRUPDQWnV WUDLQ RI WKRXJKW 2FFDVLRQDOO\ SDUHQWKHVHV ZHUH DOVR HPSOR\HG WR VXJJHVW DQ DOWHUQDWH WUDQVFULSWLRQ ZKHQ WKH VSHHFK RQ WKH WDSH ZDV QRW TXLWH LQWHOOLJLEOH %UDFNHWV HQFORVH HLWKHU LQWHUn YLHZHU FRPPHQWV RQ WKH LQIRUPDQWnV EHKDYLRU RU VKRUW VXPPDULHV RI WKH LQWHUYLHZHUnV VSHHFK ,Q WKH LQWHUYLHZ H[FHUSW SUHVHQWHG EHORZ WKH WZR GLIIHUHQW XVHV RI SDUHQWKHVHV DUH H[HPSOLILHG )LHOGZRUNHU ,Q JHQHUDO ZKDW KDYH EHHQ WKH PRVW VLJQLILFDQW FKDQJHV WKDW \RXnYH VHHQ LQ WKH FRPPXQLW\ RI :KLWH 3LQH LWn VHOI GXULQJ \RXU OLIHWLPH" ,QIRUPDQW \HDUROG PDOHf 2K JXHVV WKLV ZKDW UHPHPEHU DV IDUPODQG LV KDV EHHQ EHLQJ DQG LV EHLQJ FRYHUHG XS ZLWK KRXVHV DQG KRXVLQJ GHYHORSPHQWV DQG VXFK DV WKDW XKKXKf DQG DURXQG WKH WRZQ 0RVW RI WKRVH UHPHPEHU ZKHQ ZKHQ WKDW ZDV IDUPODQG WKH RQHV RXW WKLV VLGH RI WRZQ DQG ZHOO WKDWnV DOO DURXQG WRZQ $QG WKDW XK DQG WKDW DQG LQIODWLRQ KPPf &RXUVH ZHnYH JRQH IURP DV IDU DV XK DV WUDQVSRUWDn WLRQ ZHnYH JRQH IURP KRUVHV DQG EXJJLHV DQG PXOHV IRU WR IDUP ZLWK DQG EXJJLHV WR ULGH LQ DQG DQG WUDLQV KDXOHG WKH SURGXFH WR QRZ LWnV JRQH WR WUXFNV 7KH WUDLQV DUH SHRSOH ULGH LQ FDUV DQG DQG XK DQG SURGXFH EHLQJ KDXOHG LQ WUXFNV ULJKW RII WKH IDUP IURP WKHUH RQ IURP WKH WLPH LWnV SURGXFHG WLO WR"f WKH WKH WLPH LWnV JHWV WR WKH JURFHU\ VWRUH 5DLOn URDG XVHG WR XVH D JRRG PDQ\ SHRSOH 7KDW ZDV SUHWW\ ELJ EXVn LQHVV 2I FRXUVH LW KDXOHG ORWV RI SHRSOH LQ WKRVH GD\V 7KDW ZDV TXLWH D TXLWH DQ HYHQW ZKHQ D WUDLQ FDPH WR WRZQ $V PHQWLRQHG DOO WKH LQWHUYLHZV ZHUH HQWLUHO\ WUDQVFULEHG E\ WKH LQn WHUYLHZHU KLPVHOI ,QHYLWDEO\ WKHUH DUH VHQWHQFHV SKUDVHV DQG HYHQ

PAGE 64

ZRUGV HVSHFLDOO\ QDPHVf WKDW RQO\ WKH LQWHUYLHZHU FDQ FRPSUHKHQG E\ YLUWXH RI KLV KDYLQJ UHPHPEHULQJ WKH FRQWH[W RI WKH LQWHUYLHZ )LHOGZRUN -RXUQDO DQG ,QWHUYLHZ &DWDORJ ,Q DGGLWLRQ WR WKH SULPDU\ GRFXPHQW WKH WDSHV DQG WKH VHFRQGDU\ GRFXPHQW WKH WUDQVFULSWV WZR RWKHU GRFXPHQW ZHUH DVVHPEOHG LQ WKLV SURMHFW $ ILHOGZRUN MRXUQDO RI GDLO\ DFWLYLWLHV DQG REVHUYDWLRQV ZDV PDLQWDLQHG E\ WKH ILHOGZRUNHU $IWHU D GD\fV ILHOGZRUN ZDV FRPSOHWHG D UHFRUG RI WKH GD\ ZDV HQWHUHG LQWR WKH MRXUQDO $V PHQWLRQHG HDUOLHU LQ WKLV FKDSWHU WKLV HPXODWHG WKH HWKQRJUDSKLF GLDU\ WKDW 0DOLQRZVNL NHSW ZKLOH DPRQJ WKH 7UREULDQG ,VODQGHUV 1RW RQO\ GRHV VXFK D MRXUQDO PDLQWDLQHG GDLO\ DOORZ D ILHOGZRUNHU WR SURILW IURP KLV RZQ H[SHULn HQFHV KLV PLVWDNHV DQG KLV IUXVWUDWLRQV EXW LW DOVR HQDEOHV KLP WR PDNH QRWH RI SDUWLFXODUO\ VXFFHVVIXO DQG HIIHFWLYH DSSURDFKHV DQG TXHVn WLRQV IRU KLV ODWHU XVH 7KH RWKHU GRFXPHQW DVVHPEOHG ZDV WKH LQWHUYLHZ FDWDORJ FRPSLOHG IRU WKH UHVHDUFKHUnV HDVH RI UHIHUHQFH ,W FRQWDLQV IRXU NLQGV RI LQn IRUPDWLRQ f 7KH YLWDO VWDWLVWLFV RQ HDFK LQIRUPDQW DJH VH[ OHYHO RI HGXn FDWLRQDO DWWDLQPHQW HWFf f 7KH SK\VLFDO GHWDLOV RI WKH LQWHUYLHZ ZKHQ DQG ZKHUH LW ZDV FRQGXFWHG f $ VXPPDU\ RI KRZ WKH LQWHUYLHZ LWVHOI ZHQW KRZ JRRG WKH UDSn SRUW EHWZHHQ ILHOGZRUNHU DQG LQIRUPDQW ZDV DQG KRZ KHOSIXO WKH LQIRUPDQW ZDV f $ QRWH RQ KRZ WKH LQIRUPDQW ZDV FRQWDFWHG

PAGE 65

([SODQDWLRQ WR ,QIRUPDQWV 7KH PHPEHUV RI WKH :KLWH 3LQH FRPPXQLW\ ZKHQ DSSURDFKHG E\ WKH ILHOGZRUNHUUHVHDUFKHU DV SRWHQWLDO LQIRUPDQWV ZHUH DOPRVW LQYDULDEO\ PRVW ZLOOLQJ DQG HYHQ IODWWHUHG WR EH DVNHG WR SDUWLFLSDWH LQ DQ LQWHUn YLHZ :KLOH D IHZ RI WKHP ZHUH LQLWLDOO\ FRQFHUQHG WKDW WKH\ ZHUH EHLQJ VLQJOHG RXW WR EH LQWHUYLHZHG IRU VRPH VSHFLDO UHDVRQ WKH ILHOGZRUNHU KDG WR DVVXUH WKHP WKDW KH ZDQWHG WR LQWHUYLHZ W\SLFDO FLWn L]HQVf WKH ILHOGZRUNHU ZDV DFWXDOO\ WXUQHG GRZQ IRU DQ LQWHUYLHZ RQO\ RQFH RYHU WKH WHOHSKRQH ZKHUH KH LV FRQYLQFHG KH ZDV PLVWDNHQ IRU D VDOHVPDQf 0RVW LQIRUPDQWV ZHUH PRUH LQWHUHVWHG LQ NQRZLQJ ZK\ WKH\ DQG :KLWH 3LQHf ZHUH FKRVHQ WKDQ ZKDW WKH ILHOGZRUNHU DFWXDOO\ ZDQWHG WR LQWHUYLHZ WKHP IRU DQG WKDW WKH VHULHV RI LQWHUYLHZV ZDV D SDUW RI KLV VFKRROZRUN ZDV VXIILFLHQW H[SODQDWLRQ IRU PRVW LQIRUPDQWV WR EH TXLWH ZLOOLQJ WR EH LQWHUYLHZHG 7KH XVXDO H[SODQDWLRQ SURYLGHG SURn VSHFWLYH LQIRUPDQWV ZDV DV IROORZV )RU D VFKRRO DVVLJQPHQW ZRXOG OLNH WR LQWHUYLHZ D FURVVVHFWLRQ RI SHRSOH LQ :KLWH 3LQH DQG DVN VRPH JHQHUDO TXHVWLRQV DERXW ZKDW OLIH LV OLNH KHUH :KDW ZDQW WR GR LV FRPSDUH WKH DQn VZHUV JHW IURP D YDULHW\ RI SHRSOH ERWK ROG DQG \RXQJ PDOH DQG IHPDOH ZRQGHUHG LI \RX ZRXOG EH ZLOOLQJ LI \RX KDYH VRPH WLPH WR KHOS PH E\ DQVZHULQJ D IHZ TXHVWLRQV 7KH ILHOGZRUNHU ZLOOLQJO\ JDYH ZKDWHYHU DGGLWLRQDO LQIRUPDWLRQ ZDV GHn VLUHGf§WKDW WKH LQWHUYLHZV ZHUH SDUW RI KLV GLVVHUWDWLRQ WKDW KH ZDV ZRUNLQJ RQ KLV GRFWRUDWH RU WKDW KLV SURMHFW ZDV D OLQJXLVWLF RQHf§ EXW WKLV ZDV UDUHO\ FDOOHG IRU ,W VKRXOG RI FRXUVH EH SRLQWHG RXW DJDLQ WKDW WKH LQLWLDO UDSn SRUW WKDW WKH ILHOGZRUNHU ZDV DEOH WR HVWDEOLVK ZLWK LQIRUPDQWV ZRXOG

PAGE 66

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n FRUGHG RQ FDVVHWWH WDSHV 7KHVH LQWHUYLHZV DUH FRGHG DV WDSHV ;,, DQG ;,,, LQ $SSHQGL[ $ 7KH 9DOXH RI )LHOGZRUN 6LQFH WKH XOWLPDWH YDOXH RI GRLQJ OLQJXLVWLF ILHOGZRUN LV WR KHOS XV EHWWHU XQGHUVWDQG KRZ SHRSOH HPSOR\ ODQJXDJH WKH ILHOGZRUNHU PXVW DOZD\V UHPHPEHU WKDW WKH LQWHUYLHZ LV D YHU\ KXPDQ HYHQW LQYROYLQJ GLn UHFW FRQWDFW EHWZHHQ WZR RU PRUH SHRSOH $V *ROGVWHLQ GHFODUHV WKH SUREOHP RI ILHOGZRUN LV HVVHQWLDOO\ KXPDQ f DQG PRUH WKDQ DQ\n WKLQJ HOVH ILHOGZRUN LV D YHQWXUH LQ KXPDQ UHODWLRQV 7KH ILHOGZRUNHU FDQQRW EH GHWDFKHG IURP KLV LQIRUPDQWV HVSHFLDOO\ ZKHQ VXEMHFWV DV GHHSIHOW DV VRPH RI WKRVH FRYHUHG LQ WKH SUHVHQW VWXG\nV LQWHUYLHZV

PAGE 67

DUH LQYROYHG )LHOGZRUN LV H[WUHPHO\ KDUG DQG WLULQJ ZRUN EXW LWV UHZDUGV LQ WHUPV RI IULHQGVKLSV JDLQHG MXVWLI\ WKH HIIRUW SXW LQ E\ WKH ILHOGZRUNHU )URP WKLV UHVHDUFKHUnV SHUVSHFWLYH DW OHDVW WKUHH VNLOOV DUH UHn TXLUHG RI WKH OLQJXLVWLF ILHOGZRUNHU LQ VXFK D VWXG\ DV WKLV RQH f 7KH DELOLW\ DQG ZLOOLQJQHVV RI D ILHOGZRUNHU WR UHODWH WR KLV LQIRUPDQWV DV KXPDQV ZKR DUH ZLOOLQJ WR VKDUH WKHLU SHUVRQDO DQG VRPHn WLPHV LQWLPDWH H[SHULHQFHV ZLWK KLP 7KH ILHOGZRUNHU PXVW YDOXH KLV LQIRUPDQWV DV SHRSOH DQG QRW DV VRXUFHV RI GDWD ZKLFK PHDQV WKDW LW LV SUREDEO\ LPSRVVLEOH WR GR JRRG ILHOGZRUN ZLWKRXW JHQXLQHO\ HQMR\LQJ KXPDQ FRQWDFW f $ UHVRXUFHIXOQHVV WR DGDSW WR QHZ VLWXDWLRQV DQG SHRSOH LQ ZD\V WKDW WKH ILHOGZRUNHU FRXOG QRW KDYH IRUHVHHQ EHIRUH JRLQJ LQWR WKH ILHOG 7KH ILHOGZRUNHU PXVW WDNH FDUH DQG HYHQ SDLQV WR DSSURDFK SHRn SOH DV LQGLYLGXDOV ZLWKRXW SUHFRQFHSWLRQV DQG SUHMXGLFHV +H VKRXOG DS SURDFK KLV FRUUPXQLW\ DV D PLFURFRVP KDYLQJ D JUHDW YDULHW\ RI XQLTXH LQ GLYLGXDOV f$ GLVSRVLWLRQ WR SHUVHYHUH DJDLQVW IUXVWUDWLRQV DQG LQFRQYHQLn HQFHV DQG HYHUSUHVHQW GHOD\V ,Q VKRUW KH PXVW EH VR FRPPLWWHG WR GRLQJ KLV ILHOGZRUN WKDW KH GHYHORSV D NLQG RI VDOHVSLWFK IRU LW +H PXVW EH ZLOOLQJ WR VROLFLW DVVLVWDQFH IURP RIWHQKHVLWDQW DQG VRPHWLPHV VNHSWLFDO SHRSOH ZKLOH DW WKH VDPH WLPH HQGHDYRULQJ WR HVWDEOLVK D IDn YRUDEOH UDSSRUW ZLWK WKHP 7KRXJK WKH PRVW GHPDQGLQJ ZRUN KH KDG HYHU GRQH WKLV ZULWHU IRXQG LW LPPHQVHO\ UHZDUGLQJ ,W JDYH KLP PDQ\ IRQG PHPRULHV DQG VHYHUDO JRRG IULHQGVKLSV ZKLFK KDYH GHYHORSHG IURP KLV LQWHUYLHZV

PAGE 68

1RWHV 7KH FKRLFHV RI WKH FRPPXQLW\ WR ZRUN LQ DQG RI WKH FRQWDFW SHUVRQV ZHUH HQWLUHO\ SUDFWLFDO RQHV 7KLV ZULWHUnV EURWKHULQODZ LV D QDWLYH RI :KLWH 3LQH DQG KLV EURWKHULQODZnV SDUHQWV DUH ORQJWLPH UHVLGHQWV WKHUH ,W LV WKH\ ZKR ZHUH FKRVHQ WR EH WKH SULPDU\ FRQn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n FHQW RI WKH UHVLGHQWV RI WKH :KLWH 3LQH GLYLVLRQ RI -HIIHUVRQ &RXQW\ ILJXUHV DUH QRW DYDLODEOH IRU WKH WRZQ RI :KLWH 3LQH LWVHOIf RYHU WKH DJH RI KDG DWWHQGHG VRPH FROOHTH +RZHYHU WKUHH IDFWRUV DFFRXQW IRU D KLJK SHUFHQWDJH SHUFHQWf RI WKLV VWXG\nV VDPSOH KDYLQJ FROn OHJH ZRUN f WKH FHQVXV DUHD ZLWK SHRSOH RYHU f LQFOXGHV UXUDO DUHD ZKRVH UHVLGHQWV KDYH D ORZHU DYHUDTH HGXFDWLRQDO OHYHO WKDQ GR WKH WRZQnV UHVLGHQWV f LQ D MXQLRU FROOHJH RSHQHG ILYH PLOHV IURP :KLWH 3LQH LW KDV DWWUDFWHG PDQ\ SDUWWLPH VWXGHQWV DQG LQIRUPDQWV KDYLQJ DWWHQGHG DV IHZ DV RQH RU WZR FRXUVHV DUH FODVVLn ILHG DV KDYLQJ VRPH FROOHJH ZRUN DQG f QHDUO\ DOO WKLV VWXG\nV LQn IRUPDQWV ZKR HQUROOHG LQ FROOHJH IRU D VKRUW WLPH GURSSHG RXW IRU PDQ\ LQ WKLV JHQHUDWLRQ WU\LQJ D TXDUWHU RI FROOHJH ZDV WKH H[n SHFWHG EULGJH IURP KLJK VFKRRO WR WKH ZRUNDGD\ ZRUOGf 7KLV VDPH YLHZ WKDW WKH ILHOGZRUNHU PXVW EH ZLOOLQJ WR EH D VDOHVn PDQ ZDV H[SUHVVHG WR WKH UHVHDUFKHU E\ 9DQFH 5DQGROSK WKH GHDQ RI $PHULFDQ IRONORUH FROOHFWRUV LQ D SHUVRQDO FRQYHUVDWLRQ ZLWK WKH ZULWHU RQ 'HFHPEHU LQ )D\HWWHYLOOH $UNDQVDV

PAGE 69

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nV W\SRORJ\ RI GLVn FRXUVH JHQUHV LV GLVFXVVHG 7KH FRQWURO RI WKH ILYH GLIIHUHQW FRQWH[WV PHQWLRQHG LQ FKDSWHU RQH VSHDNHU W\SH IUHTXHQF\ RI RFFXUUHQFH VRFLDO VLWXDWLRQ WDVN DQG OLQJXLVWLF SRVLWLRQf PDNHV WKLV VWXG\ D QRYHO RQH $OVR DV IDU DV WKLV ZULWHU FDQ GHWHUPLQH WKLV VWXG\ LV WKH RQO\ DQDO\VLV RI WKH GLVn FRXUVH VWUXFWXUH RI RUDO H[SRVLWLRQV IRU DQ\ YDULHW\ RI $PHULFDQ (QJn OLVK $OWKRXJK PXFK KDV EHHQ ZULWWHQ DERXW GLVFRXUVH VWUXFWXUH LQ (QJn OLVK RUDO H[SRVLWLRQV KDYH EHHQ VHULRXVO\ VWXGLHG RQO\ IRU RWKHU ODQn JXDJHV VHH HVSHFLDOO\ /RQJDFUH f 7KLV GLVVHUWDWLRQ UHSUHVHQWV WKH ILUVW WLPH WKDW WKH WDVN RI HOLFLWLQJ DQDO\]LQJ DQG WKHQ JHQHUn DOL]LQJ DERXW D ODUJH FRUSXV RI H[SRVLWLRQV KDV EHHQ XQGHUWDNHQ IRU (QJOLVK ,W WKHUHIRUH LV DQ H[SORUDWRU\ SURMHFW

PAGE 70

'LVFRXUVH 6WXGLHV DQG WKH $SSURDFK RI 7KLV 6WXG\ 7KH GHFLVLRQ WR VWXG\ WKH GLVFRXUVH OHYHO RI RUDO H[SRVLWLRQV RULJn LQDOO\ GHULYHG IURP WKLV ZULWHUnV JURZLQJ FRQYLFWLRQ WKDW WKH FRQVWUXFn WLRQ NQRZQ DV OHIW GLVORFDWLRQ DQ RIWHQXVHG FRQVWUXFWLRQ LQ VSHHFK FRXOG RQO\ EH XQGHUVWRRG LI LWV IXQFWLRQ ZHUH YLHZHG DV VXSHUVHQWHQWLDO RQ WKH GLVFRXUVH OHYHO 0RQWJRPHU\ D f ,I VXFK D IUHTXHQW EXW OLWWOH VWXGLHG FRQVWUXFWLRQ VHHPHG WR WHOO XV VRPHWKLQJ DERXW KRZ VSHDNn HUV RUJDQL]H WKHLU OLQJXLVWLF EHKDYLRU LW VHHPHG OLNHO\ WKDW RWKHU IHDn WXUHV DQG FRQVWUXFWLRQV RI RUDO GLVFRXUVH VKRXOG DOVR EH VWXGLHG LQ WKHLU GLVFRXUVH FRQWH[WV 7KHUH LV PXFK WR UHFRPPHQG WKH YLHZ WKDW RUDO H[SRVLWLRQV DUH SUHOLPLQDU\ WR ZULWWHQ RQHV $W OHDVW XQGHUVWDQGn LQJ KRZ VSHDNHUV QHJRWLDWH DQG VWUXFWXUH RQJRLQJ H[SRVLWLRQV PLJKW LPn SURYH RXU DZDUHQHVV RI WKH FRPPXQLFDWLRQ V\VWHP WKDW SHRSOH EULQJ WR WKH ZULWLQJ SURFHVV 6LQFH OLQJXLVWV KDYH IRU WZR JHQHUDWLRQV PDGH WKH FDVH WKDW VSHHFK LV SULPDU\ DQG ZULWLQJ GHULYDWLYH LW VHHPV FUXFLDO WKDW D VWXG\ VKRXOG EHJLQ ZLWK WKH VWUXFWXUH RI RUDO H[SRVLWLRQV UDWKHU WKDQ ZULWWHQ RQHV ,W LV QR ORQJHU QHFHVVDU\ WR MXVWLI\ WKH YDOXH RI GRLQJ GLVFRXUVH DQDO\VLV ZKLFK PD\ EH EURDGO\ GHILQHG DV WKH VWXG\ RI DQ\ VHJPHQW RI YHUEDO EHKDYLRU ODUJHU WKDQ WKH VHQWHQFH *ULPHV f WKH ZDWHUVKHG ZRUN LQ WKH ILHOG KDV VKRZQ WKDW GLVFRXUVH DQDO\VLV LV LQGHHG SRVVLEOH DQG WKDW LW ULJKWO\ OLHV ZLWKLQ WKH GRPDLQ RI OLQJXLVWLFV UDWKHU WKDQ UKHWRULF RU DQRWKHU ILHOG H[FOXVLYHO\f *ULPHVn ZRUN LV VXFK D YDVW

PAGE 71

FRUQXFRSLD RI REVHUYDWLRQV RQ GLVFRXUVH WKDW LW VKRXOG QR ORQJHU EH DVNHG ,V LW ZRUWKZKLOH WR GR GLVFRXUVH DQDO\VLV" 5DWKHU ZH VKRXOG DVN :KDW NLQG RI GLVFRXUVH DQDO\VLV ZLOO DGGUHVV VLJQLILFDQW TXHVn WLRQV DERXW KRZ SHRSOH RUJDQL]H WKHLU OLQJXLVWLF EHKDYLRU" 6LQFH *ULPHV SURYLGHV QHLWKHU D PHWKRGRORJ\ QRU D SRLQW RI GHSDUWXUH IRU D SULQFLSOHG DSSURDFK WR WKH DQDO\VLV RI H[SRVLWRU\ GLVFRXUVH EXW QHLn WKHU LV KLV DLPf ZH PXVW ORRN HOVHZKHUH IRU DQ DSSURDFK WR RUDO H[SRn VLWLRQV $FFRUGLQJ WR :LGGRZVRQ GLVFRXUVH DQDO\VWV KDYH JHQHUDOO\ WDNHQ RQH RI WZR EDVLF SRLQWV RI GHSDUWXUH (LWKHU WKH\ KDYH VWDUWHG ZLWK WKH WH[W RU GLVFRXUVH DV D ZKROH RU WKH\ KDYH EHJXQ ZLWK VHQWHQFHV RU VXEVHQWHQFHV LQ DQ HIIRUW WR LGHQWLI\ WKHLU GLVFRXUVH IXQFWLRQVf 2QH JHQHUDO DSSURDFK WR GLVFRXUVH DQDO\VLV WKHQ EHJLQV ZLWK LQVWDQFHV RI GLVFRXUVH ZLWK DFWXDO GDWD DQG PRYHV WRZDUGV OLQn JXLVWLF XQLWV WR WKH H[WHQW WKDW WKLV DSSHDUV WR EH QHFHVVDU\ IRU WKH SXUSRVH RI WKH GHVFULSWLRQ 7KH VHFRQG DSSURDFK PRYHV RXWZDUGV DV LW ZHUH IURP WKH VHQWHQFH DQG GHDOV ZLWK OLQn JXLVWLF H[SUHVVLRQV DV UHDOL]HG LQ GLVFRXUVH EXW ZLWK WKH DEn VWUDFW SRWHQWLDO RI OLQJXLVWLF IRUPV f 7KH HPSKDVLV LQ WKH ILUVW DSSURDFK LV RQ WKH KLHUDUFKLFDO QDWXUH RI GLVFRXUVH LQ WKH VHFRQG RQ WKH OLQHDU QDWXUH RI GLVFRXUVH 7KHUH DUH JRRG UHDVRQV IRU FKRRVLQJ HLWKHU SRLQW RI GHSDUWXUH DQG LQ PDQ\ LQn VWDQFHV GLVFRXUVH DQDO\VWV KDYH WDNHQ RQH RU WKH RWKHU DQG HOHFWHG QRW WR PRYH WRZDUG WKH RWKHU 3URSS f DQG D QXPEHU RI RWKHU ZULWHUV RQ IRONORULVWLFV GR QRW PRYH WRZDUG OLQJXLVWLF XQLWV DW DOO 6HYHUDO RI WKH PRGHUQGD\ WH[W JUDPPDULDQV 3HWWLIL DQG 5LHVHU 9DQ 'LMN f DOVR UHO\ RQ DEVWUDFWLRQV IURP D WH[W IRU DQDO\VLV DQG DUH SULPDULO\

PAGE 72

FRQFHUQHG ZLWK WKH DEVWUDFW DQG UKHWRULFDO VWUXFWXUH RI GLVFRXUVHV 7H[W JUDPPDULDQV IRU WKH PRVW SDUW YLHZ GLVFRXUVH RU WH[W DV D XQLW RI FRPSHWHQFH DQG QRW RI SHUIRUPDQFH 2WKHU DQDO\VWV DSSURDFKLQJ GLVFRXUVH HJ :LOOLDPV +DOOLGD\ DQG +DVDQ f FKRRVH WR VWXG\ H[FOXVLYHO\ WKH YDULRXV FRKHVLYH UHn VRXUFHV RI (QJOLVK WR ILW RQH VHQWHQFH DIWHU DQRWKHU LQWR D FRQWH[W WR SURGXFH DFFHSWDEOH VHQWHQFH VHTXHQFHV :LOOLDPV H[DPLQHV GHOHWLRQ DQG D ZLGH YDULHW\ RI HOHPHQWV VXFK DV GHLFWLFV DQG VHQWHQFH DGYHUEV +DOOLGD\ DQG +DVDQ DUH FRQFHUQHG ZLWK VXFK VHPDQWLF UHVRXUFHV RI (QJn OLVK DV VXEVWLWXWLRQ HOOLSVLV UHIHUHQFH DQG FRQMXQFWLRQ 7KLV OLQn HDU DSSURDFK WR GLVFRXUVH LV GHYRWHG WR H[SOLFDWLQJ LQWHUVHQWHQWLDO OLQNDJH 6HYHUDO GLVFRXUVH VWXGLHV DWWHPSW WR EULGJH WKH JDS EHWZHHQ WKHVH WZR SRLQWV RI GHSDUWXUH DQG WR EDODQFH WKH KLHUDUFKLFDO DQG OLQHDU DSn SURDFKHV WR WKH VWXG\ RI GLVFRXUVH RUJDQL]DWLRQ 7KH\ KDYH YDU\LQJ UHn OHYDQFH WR WKH SUHVHQW VWXG\ KRZHYHU VLQFH QRQH RI WKHP H[FHSW LQ SDUW /RQJDFUH f DUH EDVHG RQ D FRUSXV RI VSRQWDQHRXV RUDO H[SRVLn WLRQV 6HYHUDO VWXGLHV HJ *ULPHV DQG *ORFN f .ODPPHU f .ODPPHU DQG &RPSWRQ f DQG 9DQ 'LMN f GHDO ZLWK RQO\ WKH QDUUDWLYH VWUXFWXUH RI RQH RU D VPDOO VDPSOH RI WH[WV 7KH EDVLF SRLQW RI PDQ\ QDUUDWLYH VWXGLHV LV WKDW D GLVFRXUVH YLHZ RI D WH[W FDQ LQGHHG PDNH VRPH LQWHUHVWLQJ REVHUYDWLRQV PRUH VR WKDQ LW LV WR JHQHUDOL]H DERXW D ERG\ RI WH[WV ,Q VWXGLHV RI QDUUDWLYH VWUXFWXUH ZH HQFRXQWHU DJDLQ DQG DJDLQ VWDWHPHQWV VLPLODU WR WKDW RI 9DQ 'LMN 7KH UHPDUNV PDGH DERXW D ZHOONQRZQ W\SH RI GLVFRXUVH WKH VWRU\ FRXOG EH H[WHQGHG

PAGE 73

IRU RWKHU GLVFRXUVH W\SHV f 9HU\ IHZ OLQJXLVWV KDYH DWn WHPSWHG WR GR WKLV KRZHYHU /RQJDFUH LQ KLV 3KLOLSSLQH VWXG\ f KDV EHHQ WKH RQO\ RQH WR GR WKLV +H SRVLWV IRUPXODH IRU WKH JUDPPDn WLFDO VWUXFWXUH RI HDFK W\SH RI GLVFRXUVH DQG SDUDJUDSK 7KLV FRPPHQW DOVR DSSOLHV WR KLV H[WHQVLRQ RI WKH FRQFHSW RI SORW WR W\SHV RI GLVn FRXUVH RWKHU WKDQ QDUUDWLYHV 1HDUO\ DOO GLVFRXUVH DQDO\VHV KDYH LQYHVWLJDWHG RQO\ ZULWWHQ RU YHU\ KLJKO\ IRUPXODUL]HG LH WKH VHUPRQ RU WKH IRONWDOHf RUDO WH[WV 7KH GLVFRXUVH IHDWXUHV ZKLFK WKH\ FRQVLGHU DUH QRW QHFHVVDULO\ HYHQ IRU H[SRVLWLRQV WKH VDPH DV WKRVH LQ VSRQWDQHRXV RUDO GLVFRXUVHV ZKLFK ZH ZLOO EH FRQFHUQHG ZLWK KHUH $V DQ H[DPSOH ZH FDQ FRPSDUH -RQHV f ZLWK WKH SUHVHQW ZRUN ,Q KHU VWXG\ RI ZULWWHQ H[SRVLWLRQV -RQHV FRQn WHQGV WKDW WKHPDWL]LQJ GHYLFHV UHSHWLWLRQ PDUNHG ZRUG RUGHU UKHWRULn FDO TXHVWLRQV FOHIWLQJ DQG SVHXGRFOHIWLQJ DPRQJ RWKHUVf FDQ IUXLWIXOO\ EH VWXGLHG LQ ZULWWHQ WH[WV %XW DOO WKH GHYLFHV VKH ILQGV DUH H[n WUHPHO\ UDUH LQ RXU :KLWH 3LQH FRUSXV RI RUDO H[SRVLWLRQV 7KH VROH H[n FHSWLRQ WR WKLV VWDWHPHQW LV FRQMXQFWLRQV ZKLFK DUH RI VHFRQGDU\ LPSRUn WDQFH LQ FRPPXQLFDWLQJ WKHPHV 0RUHRYHU WKH WZR PRVW IUHTXHQWO\ XVHG WKHPDWLF FRQVWUXFWLRQV IURP RXU FRUSXV OHIW GLVORFDWLRQV DQG H[LVWHQ WLDOVf VKH GRHV QRW PHQWLRQ 7KHPDWLF DQG RWKHU GHYLFHV VKRXOG EH VWXGn LHG EXW ZH VKRXOG QRW DVVXPH WKDW WKH\ DUH LGHQWLFDO IRU ZULWWHQ DQG RUDO WH[WV 2WKHU DQDO\VWV KDYH VXJJHVWHG RWKHU W\SHV RI GHYLFHV DV FUXFLDO WR VWXG\ LQ D GLVFRXUVH FRQWH[W SXQFWXDWLQJ RU WUDQVLWLRQDO GHYLFHV 0HUn ULWW f YDULRXV NLQGV RI DQDSKRUD *XWZLQVNL f HTXLYDOHQFH

PAGE 74

FKDLQV +DUULV f DQG WKRVH RI +DOOLGD\ DQG +DVDQ DQG RI :LOOLDPV PHQWLRQHG DERYH $V YDOLG DV LW PD\ EH WR VWXG\ HDFK RI WKHVH W\SHV WKH QHFHVVDU\ KHXULVWLF IUDPHZRUN IRU WKH FRPSUHKHQVLYH VWXG\ RI FRn KHVLYH GHYLFHV LQ GLVFRXUVH LV SURYLGHG RQO\ LQ /RQJDFUH DQG /HYLQ VRKQ f 2XU DSSURDFK WR WKH SDUDJUDSK VWUXFWXUH RI RUDO H[SRVLn WLRQV LV ODUJHO\ EDVHG RQ WKH LGHDV LQ WKLV DUWLFOH $V VXJJHVWHG LQ WKHLU WLWOH )LHOG $QDO\VLV RI 'LVFRXUVH /RQJ DFUH DQG /HYLQVRKQ RIIHU D IUDPHZRUN IRU GLVFRXUVH DQDO\VLV IRU OLQn JXLVWV ZRUNLQJ LQ WKH ILHOG ZLWK OLWWOHVWXGLHG ODQJXDJHV VXFK DV WKRVH ZKLFK 6XPPHU ,QVWLWXWH RI /LQJXLVWLFV ZRUNHUV IUHTXHQWO\ HQFRXQn WHUf :KDW WKH SUHVHQW ZULWHU KDV FKRVHQ WR GR LV WR DGRSW LW IRU ILHOGZRUN ZLWK D PXFKVWXGLHG ODQJXDJHf§(QJOLVK /RQJDFUH DQG /HYLQn VRKQ DUH GHWHUPLQHG WR EULGJH WKH JDS EHWZHHQ WKH DEVWUDFW VWUXFWXUH DQG WKH VSHFLILF FRKHVLYH GHYLFHV RI D GLVFRXUVH EXW LQVLVW WKDW WKH DQDO\VW FDQ GR WKLV RQO\ E\ ILUVW LGHQWLI\LQJ DQG GHVFULELQJ WKH VXUn IDFH VWUXFWXUH FRKHVLYH GHYLFHV DQG GLVFRXUVH FRQVWLWXHQWV 7KH MRE RI WKH DQDO\VW LV WRORRN WKURXJK WKH IOHVK DQG WKH VNLQ WR WKH VNHOHWDO VWUXFWXUH EHQHDWK DQG WR SHUFHLYH WKH IXQGDPHQWDO VWUXFWXUH RI WKH ZKROH f 7KH DLPV RI WKH DQDO\VW DUH WR VKRZ KRZ WKHVH FRKHVLYH GHYLFHV RSHUDWH DQG WKHQ WR GLVSOD\ DQ RXWOLQH RI WKH GLVFRXUVH LQ D VFKHPDWLF IDVKLRQ /RQJDFUH DQG /HYLQVRKQ SUHVHQW HLJKW VXUIDFH VWUXFWXUH FRKHVLYH GHYLFHV ZKLFK SHUPLW D GLVFRXUVH WR EH RXWOLQHG f 7KH UROH RI WHQVH DQG YRLFH f 3DUWLFOHV DQG DIIL[HV

PAGE 75

f 3DUWLFLSDQW DQDSKRUD f 'HLFWLFV f /H[LFDO WLHV DQG SDUDSKUDVH f 6XPPDU\ DQG SUHYLHZ f &RQMXQFWLRQV DQG LQWURGXFHUV f %DFNUHIHUHQFH *LYHQ WKH WLPH OLPLWDWLRQV RI WKLV VWXG\ IRXU RI WKHVH GHYLFHV WKH UROH RI WHQVH DQG YRLFH SDUWLFOHV DQG DIIL[HV OH[LFDO WLHV DQG SDUDn SKUDVH DQG EDFNUHIHUHQFHf DUH QRW FRQVLGHUHG LQ WKLV GLVVHUWDWLRQ 7KH UHPDLQLQJ IRXU SDUWLFLSDQW DQDSKRUD GHLFWLFV VXPPDU\ DQG SUHn YLHZ DQG FRQMXQFWLRQV DQG LQWURGXFHUVf DUH WKH FRQFHUQV RI FKDSWHUV WKUHH WKURXJK ILYH KHUHLQ 7KH VHFRQG K\SRWKHVLV RI WKLV VWXG\ LV WKDW WKH JUDPPDWLFDO VWUXFn WXUH RI RUDO H[SRVLWRU\ SDUDJUDSKV LV RUJDQL]HG WR D VLJQLILFDQW GHJUHH E\ FHUWDLQ FRKHVLYH GHYLFHVf§WKH RWKHU IRXU GLVFXVVHG E\ /RQJDFUH DQG /HYLQVRKQ ,W LQYHVWLJDWHV WKLV K\SRWKHVLV E\ H[DPLQLQJ WKH IXQFWLRQVf DQG GLVWULEXWLRQ RI WKHVH GHYLFHV 7KH GHYLFH FDOOHG SDUWLFLSDQW DQDSKRUD KDV WR GR ZLWK WKH LGHQWLn ILFDWLRQ RI SDUWLFLSDQWV LQ D GLVFRXUVH 3DUWLFLSDQWV FDQ EH LGHQWLILHG E\ QDPH E\ D FRPPRQ QRXQ E\ SURQRXQ E\ DQ DIIL[ RU MXVW E\ ]HUR 6XFK YDULDWLRQV LQ DQDSKRUD DUH QHYHU XQPRWLYDWHG 0RVW FRPPRQO\ WKH GRPDLQ RI WKH SDUWLFLSDQW DQDSKRUD FKDLQ LV WKH SDUDJUDSK /RQJDFUH DQG /HYLQVRKQ f :H ZLOO KHUH EH FRQFHUQHG ZLWK RQO\ RQH OLQN LQ WKLV FKDLQf§WKH ILUVWf§PDQ\ OLQJXLVWV KDYH VWXGLHG DQDSKRUD *XWZLQ VNL f %ULQHJDU f +LQGV f DQG RWKHUVf DQG ZLOO FDOO WKLV

PAGE 76

ILUVW OLQN WKH WKHPH 7KH WKHPH LV WKH SLHFH RI LQIRUPDWLRQ QRW QHFHVVDULO\ D KXPDQ SDUWLFLSDQWf ZKLFK XVXDOO\ LQLWLDWHV DQ DQDSKRUD FKDLQ DQG ZKLFK D EORFN RU SDUDJUDSK DV ZH ZLOO VHHf RI LQIRUPDWLRQ LV DERXW 7KH SULPDU\ VXUIDFH VWUXFWXUH GHYLFHV ZKLFK LQWURGXFH WKHPH RU WKHPDWL]H D SLHFH RI LQIRUPDWLRQ DUH RI WZR VRUWV LQ RXU FRUSXV OHIW GLVORFDWLRQV DQG H[LVWHQWLDOV ,Q WKH IROORZLQJ H[SRVLWLRQ ZH XQn GHUOLQH WZR OHIW GLVORFDWLRQV DQG WZR H[LVWHQWLDOV DOO IRXU RI ZKLFK LQLWLDWH DQDSKRUD FKDLQV WR LOOXVWUDWH RXU DSSURDFKA )LHOGZRUNHU :KDW KDYH EHHQ WKH PDMRU FKDQJHV \RXnYH VHHQ LQ :KLWH 3LQH GXULQJ \RXU OLIHWLPH" /HWnV VD\ WKH PRVW VLJQLILn FDQW FKDQJHV" ,QIRUPDQW :HOO WKH\ UHVWUXFWXUHG WKH EDQN ZLVKHG WKH\nG XK OHIW LW WKH ROG ZD\ EXW JXHVV WKH\ GLG WKDW IRU \RX NQRZ VHFXULW\ PHDVXUHV DQG VWXII DQG WKHQ XK WKH PDOO WKH PDOO ZDV WDONLQJ DERXW WKH VKRSSLQJ FHQWHU
PAGE 77

RI D SDUDJUDSKnV JUDPPDWLFDO VWUXFWXUH DQG WR D VLJQLILFDQW H[WHQW LQ RXU :KLWH 3LQH H[SRVLWLRQV D SDUDJUDSKnV WKHPH LV PDUNHG E\ RQH RI WKH WZR FRQVWUXFWLRQV PHQWLRQHG ,Q /RQJDFUHnV PRVW UHFHQW YLHZ RI WKH JUDPPDU RI WKH SDUDJUDSK KH LQGLFDWHV WKDW ZH ILQG WKH SDUDJUDSK EXLOW DURXQG D WKHPH WKDW LV QRW GLIIHUHQW LQ NLQG IURP D WKHPDWLF SDUn WLFLSDQW )RUWKFRPLQJf 2XU FKDSWHU WKUHH FRQILUPV WKLV IRU H[SRn VLWLRQV 7ZR RWKHU W\SHV RI GHYLFHV GHLFWLFV DQG VXPPDU\ DUH FRQVLGHUHG WRJHWKHU LQ FKDSWHU IRXU EHFDXVH GHLFWLFV DUH IUHTXHQWO\ HPSOR\HG WR PDNH VXPPDULHV LQ RXU H[SRVLWLRQV ,Q JHQHUDO GHLFWLFV HVSHFLDOO\ WKH ZRUG WKDWf KHOS NHHS WUDFN RI WKHPDWLF LQIRUPDWLRQ LQ D SDUDJUDSK :H ZLOO H[DPLQH IRXU XVHV RI GHLFWLFV LQ FKDSWHU IRXU f DV WKH SURQRn PLQDO UHIHUHQFH LQ OHIW GLVORFDWLRQ f LQ H[WUDSRVLWLRQV f LQ LGHQn WLI\LQJ VHQWHQFHV DQG f LQ ZKDW ZH ZLOO WHUP SHDN VHQWHQFHV $Q H[DPSOH RI D SHDN VHQWHQFH LV XQGHUOLQHG EHORZ )LHOGZRUNHU :KDW ZRXOG \RX VD\ KDYH EHHQ WKH PRVW VLJQLILFDQW FKDQJHV \RXnYH VHHQ LQ WKH WRZQ LQ \RXU IHZ \HDUV KHUH" ,QIRUPDQW 0RVW VLJQLILFDQW FKDQJH ,nYH VHHQ LV WKH WKH LQWUXn VLRQ RU WKH FRPLQJ LQ RI RI QHZ SHRSOH :KLWH 3LQH LV QR ORQJHU WKH VDPH WRZQ LW ZDV HLJKW DQG D KDOI \HDUV DJR EHFDXVH RI LWV JURZWK XK EHFDXVH RI SHRSOH ZLWK GLIIHUHQW EDFNJURXQGV KDYLQJ PRYHG LQWR RXU WRZQ XKKXKf 8K WKHUHIRUH LW KDV FKDQJHG WKH FRPSOH[ RI RXU WRZQ WUHPHQGRXVO\ 8K WKLQN WKLV LV WKH JUHDWHVW FKDQJH WKDW KDV KDSSHQHG LQ RXU WRZQ LV WR KDYH QHZ SHRSOH FRPLQJ LQ ZLWK QHZ EORRG QHZ WKRXJKWV QHZ LGHDV QHZ DSSURDFK WR WKLQJV ;f :H ZLOO VHH WKDW VXFK VHQWHQFHV UHSUHVHQW DQRWKHU XQLW LQ WKH JUDPPDWLn FDO VWUXFWXUH RI WKH SDUDJUDSKf§WKH SHDNf§DQG ZH ZLOO FRQILUP WKH YLHZ RI /RQJDFUH DQG /HYLQVRKQ WKDW LQ H[SRVLWRU\ GLVFRXUVH WKH SHDN LV nWKH FXOPLQDWLQJ H[SODQDWLRQ f

PAGE 78

7KH FRQFHUQ RI FKDSWHU ILYH LV DQ HLJKWK W\SH RI GHYLFHf§FRQMXQFn WLRQV DQG LQWURGXFHUV LQVRIDU DV WKH\ RFFXU LQ D VHW RI RI WKH FRUSXV H[SRVLWLRQV $ URXJK WD[RQRP\ RI WKH PRVW IUHTXHQW FRQMXQFn WLRQV DFFRPSDQ\LQJ OHIW GLVORFDWLRQ LV SUHVHQWHG )LQDOO\ VRPH REn VHUYDWLRQV DERXW VXESDUDJUDSKV HVSHFLDOO\ LQWURGXFHG E\ OLNH DUH PDGH /RQJDFUH DQG /HYLQVRKQ WKXV HODERUDWH HLJKW W\SHV RI VXUIDFH VWUXFWXUH FRKHVLYH GHYLFHV 2XU REMHFW KHUH LV WR VKRZ WKDW IRU RQH FRUSXV RI (QJOLVK IRXU RI WKHP PDNH FRPSOHWH VHQVH RQO\ LI YLHZHG LQ D GLVFRXUVH FRQWH[W $OWKRXJK ZH H[DPLQH WKH XQGHUO\LQJ UHJXODULWLHV RI VHYHUDO RI WKH VSHFLILF GHYLFHV OHIW GLVORFDWLRQ DQG GHLFWLFV ZKLFK SDUWLFLSDWH LQ SHDN VHQWHQFHV HVSHFLDOO\f RXU SULPDU\ DLP LV WR GHn WHUPLQH WKHLU GLVWULEXWLRQ DQG IXQFWLRQVf DFURVV H[WHQGHG WH[WV ZKLFK DOVR VKRZV WKHLU SHULRGLF FKDUDFWHU 7KLV SHULRGLF FKDUDFWHU UHIOHFWV WKH SDUDJUDSK QDWXUH RI VSRQWDQHRXV RUDO H[SRVLWLRQV 7R D VLJQLILFDQW GHJUHH VXUIDFH VWUXFWXUH FRKHVLYH GHYLFHV LPSOHPHQW WKH JUDPPDWLFDO XQLWV RI SDUDJUDSKV HVSHFLDOO\ WKH WKHPH DQG SHDN )RU FRQYHQLHQFH SDUWV RI WKH DQDO\VLV DUH SHUIRUPHG RQ D VXEVHW RI WKH FRUSXVn H[SRVLWLRQV D UDQGRP VHOHFWLRQ RI VDPSOH H[SRVLWLRQV ILYH IURP HDFK LQIRUPDQW ,Q VRPH FDVHV WKH DQDO\VLV LV EDVHG RQ D VPDOOHU VHW RI H[SRVLWLRQV WZR IURP HDFK LQIRUPDQW %DVHG RQ WKH H[SRVLWLRQV RI IRUW\ SHRSOH RXU ILQGLQJV KDYH D EURDG JHQHUDOLW\ ZLWK UHVSHFW WR WKH FRPPXQLW\ LQYHVWLJDWHG :KLWH 3LQH 7HQQHVVHH ,W PLJKW UHDVRQDEO\ EH DVNHG ZK\ VR OLWWOH FRQFHUQ

PAGE 79

DQG DWWHQWLRQ LV JLYHQ LQ WKLV VWXG\ WR YDULDWLRQ LQ FRKHVLYH GHYLFHV EHWZHHQ VXEJURXSV RI WKH LQIRUPDQW VDPSOH DFFRUGLQJ WR HLWKHU WKH DJH WKH HGXFDWLRQDO OHYHO RU WKH VRFLRHFRQRPLF EDFNJURXQG RI WKH LQn IRUPDQWV ([FHSW IRU RQO\ D IHZ VFDWWHUHG UHPDUNV UHJDUGLQJ WKH LQn WURGXFHU OLNH IRU H[DPSOHf QRWKLQJ LV VDLG DERXW GLIIHUHQFHV EHWZHHQ LQGLYLGXDO RU JURXSV RI VSHDNHUV ,I :KLWH 3LQH KDG EHHQ SUHVXPHG WR EH D KRPRJHQHRXV VSHHFK FRPPXQLW\ WKH FDUH WR LQWHUYLHZ D ODUJH DQG UHSn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f§QHDUO\ WKUHH KRXUV 1HLWKHU IRU WKH IRXU LQIRUPDQWV QRW QDWLYH RI 7HQQHVVHH QRU IRU WKH RQH QDWLYH WR *UHDW %ULWDLQ GLG OHIW GLVORFDWLRQ IXQFWLRQ GLIIHUHQWO\ IURP :KLWH 3LQH QDWLYHV 3HDN VHQn WHQFHV ZLWK ILIW\ LQVWDQFHV ZHUH XVHG E\ WZHQW\ WKUHH VSHDNHUV RI PDQ\ GLIIHUHQW HGXFDWLRQDO OHYHOV DQG VRFLRHFRQRPLF EDFNJURXQGV DQG WKXV GLVn WULEXWH EURDGO\ WKURXJKRXW WKH VDPSOH 2WKHU GHYLFHV PD\ KDYH YDULHG LQ IUHTXHQF\ WRR %XW QRQH YDU\ LQ IXQFWLRQ 0RUH LPSRUWDQW WKHUH LV OLWWOH WR VXJJHVW WKDW DQ\ RI WKH GHYLFHV FRQVLGHUHG LQ WKLV GLVVHUWD

PAGE 80

WLRQ DUH GLDJQRVWLF RI DQ\ RI WKH VSHDNHUV $ FORVHU ORRN PLJKW UHn YHDO VRPH NLQG RI YDULDWLRQ EXW WKDW ZRXOG EH WKH REMHFW RI DQRWKHU VWXG\ 7KH 6WXG\ RI 0RQRORJXH ([SRVLWLRQV /LQJXLVWV LQWHUHVWHG LQ VXSHUVHQWHQWLDO VHJPHQWV RI VSHHFK KDYH RQO\ UHFHQWO\ KHHGHG )LUWKnV LQMXQFWLRQ RI QHDUO\ D KDOIFHQWXU\ DJR WKDW QHLWKHU OLQJXLVWV QRU SV\FKRORJLVWV KDYH EHJXQ WKH VWXG\ RI FRQn YHUVDWLRQ EXW LW LV KHUH ZH VKDOO ILQG WKH NH\ WR D EHWWHU XQGHUVWDQGn LQJ RI ZKDW ODQJXDJH UHDOO\ LV DQG KRZ LW ZRUNV D f 2QO\ LI LW LV UHFRJQL]HG WKDW WKH IXQFWLRQ DQG PDQLIHVWDWLRQ RI ODQJXDJH LV EDn VLFDOO\ FRQYHUVDWLRQ FDQ ODQJXDJH EHVW EH XQGHUVWRRG 5HFHQW VWXGLHV RQ WXUQWDNLQJ DV E\ 6DFNV 6FKHJORII DQG -HIIHUVRQ f UHFRJQL]H WKH LPSRUWDQFH RI VWXG\LQJ EORFNV RI FRQYHUVDWLRQDO GLDORJXH DQG KDYH VKRZQ WKDW WKH\ KDYH FRKHVLRQ MXVW DV RWKHU GLVFRXUVH EORFNV GR .ODPPHU f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f E\ WKH ILHOGZRUNHU 3LNH DQG /RZH VHH PRQRORJXH DV RFFXUULQJ ZKHQ RQH LQGLYLGXDO RI WKH FDVW VWD\V IL[HG

PAGE 81

LQ WKH UROH RI DGGUHVVHH f .ODPPHU GHILQHV PRQRORJXH PRUH ORRVHO\ DV RQH XQLQWHUUXSWHG VSHHFK ZLWKLQ D GLDORJXH FRQWH[W f 7KH PRQRORJXHV ZH HQFRXQWHU LQ RXU FRUSXV DUH XVXDOO\ LVRPRUSKLF ZLWK WXUQV LQ FRQYHUVDWLRQ EXW QRW DOZD\V ,Q VRPH LQVWDQFHV LW LV REYLRXV WKDW PRQRORJXHV FRQWLQXH DFURVV DQ H[FKDQJH LQ WXUQV 7KDW LV ZH FDQQRW VD\ WKDW D VSHDNHU QHHGV WR UHLQWURGXFH DW HDFK WXUQ LQ WKH FRQYHUVDWLRQ DOO WKH DQWHFHGHQWV IURP DQ HDUOLHU WXUQ *RRG UHDVRQV IRU VWXG\LQJ WKH VWUXFWXUH RI PRQRORJXHV FDQ EH IRXQG /RQJDFUH YLHZV PRQRORJXH DV D VSHFLDO ORSVLGHG GHYHORSPHQW RI FRQYHUVDWLRQ /RQJDFUH f %XW KH VWUHVVHV LWV XQLYHUVDO FXOn WXUDO LPSRUWDQFH S f +LV W\SRORJ\ RI GLVFRXUVH JHQUHV /RQJn DFUH /RQJDFUH DQG /HYLQVRKQ f ZKLFK KH EHOLHYHV WR KDYH XQLYHUVDO DSSOLFDWLRQV LV DFWXDOO\ D W\SRORJ\ RI PRQRORJXHV QDUn UDWLYH H[SRVLWRU\ SURFHGXUDO DQG KRUWDWRU\f :KDW /RQJDFUH FRQVLn GHUV WKH GHHS VWUXFWXUH RU XQLYHUVDO IHDWXUHV RI H[SRVLWRU\ PRQRORJXHV LV GLVFXVVHG ODWHU LQ WKLV FKDSWHU 7KHUH LV DQRWKHU JRRG UHDVRQ IRU VWXG\LQJ WKH VWUXFWXUH RI PRQRn ORJXHV 7KH H[SRVLWRU\ PRQRORJXH W\SH RI GLVFRXUVH RQ ZKLFK WKLV GLVn VHUWDWLRQ LV EDVHG KDV DOO WKH IHDWXUHV RI ZKDW +\PHV f FDOOV D VSHHFK DFW VHWWLQJ DQG VFHQH SDUWLFLSDQWV HQGV DFW VHTXHQFH NH\ LQVWUXPHQWDOLWLHV QRUP DQG JHQUH 9LHZLQJ PRQRORJXH DV D XQLW PRUHn RYHU DOORZV XV WR H[DPLQH WKHPDWL]LQJ GHYLFHV GHLFWLFV DQG RWKHU GHn YLFHV LQ WKLV GLVVHUWDWLRQ 7KLV LV EHFDXVH WKHVH GHYLFHV KHOS RUJDn QL]H PRQRORJXH FRQYHUVDWLRQDO WXUQV LQWR RQH RU PRUH VHOIFRQWDLQHG

PAGE 82

WKHPDWLF XQLWVf§SDUDJUDSKVf§ZKLFK UHSUHVHQW WKH QDWXUDO WKHPDWLF VWUXFn WXUDO XQLWV LQ ZKLFK VSHHFK LV XVHG 2UDO 3DUDJUDSKV DQG D 5HYLHZ RI 3DUDJUDSK 6WXGLHV ,Q DQDO\]LQJ WKH VWUXFWXUH RI GLVFRXUVHV OLQJXLVWV KDYH RIWHQ UHFn RJQL]HG GLVWLQFW VXSHUVHQWHQWLDO XQLWV VPDOOHU WKDQ WKH GLVFRXUVH LWn VHOI 7KLV LV WKH FDVH ZLWK 9DQ 'LMN f IRU QDUUDWLYH .ODPPHU f IRU GLDORJXH DQG /RQJDFUH f IRU GUDPDWLF SURFHGXUDO DQG RWKHU W\SHV RI GLVFRXUVH 9DQ 'LMN XVHV WKH WHUP PDFURVWUXFWXUH IRU D VHTXHQFH RI VHQWHQFHV ZKLFK EHORQJ WRJHWKHU DQG ZKLFK IUHTXHQWO\ KDV 0RUSKR3KRQRORJLFDO PDUNLQJV f +H PHQWLRQV SDXVHV LQn WRQDWLRQ DQG SDUWLFOHV DV H[DPSOHV RI VXFK PDUNLQJV .ODPPHU /RQJ DFUH DQG RWKHUV DGRSW WKH OHVV RULJLQDO EXW PRUH XVHIXO WHUP SDUDn JUDSK WKH WUDGLWLRQDO WHUP UHIHUULQJ WR DQ RUWKRJUDSKLF XQLW RI ODQn JXDJH +HUHLQ ZH ZLOO DOVR XVH WKH WHUP SDUDJUDSK IRU WKHVH LQWHUPHn GLDWH VWUXFWXUDO XQLWV LQ RUDO GLVFRXUVHV WKDW DUH XQLILHG LQ PRUH ZD\V WKDQ VLPSO\ IRUPLQJ D EORFN RI SULQW RQ WKH SDJH )RU /RQJDFUH DQ\ VWULQJ RI WZR RU PRUH VHQWHQFHV ZKLFK EHORQJ WRn JHWKHU FRQVWLWXWH D SDUDJUDSK 8QVWUXFWXUHG VHTXHQFHV RU VWULQJV RI VHQWHQFHV ZKLFK GR QRW FRQVWLWXWH D SDUDJUDSK VWUXFWXUH GR QRW H[LVW f 0RVW RIWHQ WKH SDUDJUDSK KDV EHHQ GHILQHG DV DQ\ VHOIFRQn WDLQHG WKHPDWLF XQLW 3LNH DQG 3LNH FDOO LW WKH PLQLPXP XQLW LQ ZKLFK D WKHPH LV GHYHORSHG f :H FRQVLGHU D SDUDJUDSK WR EH DQ\ WKHPDWLF EORFN RI ODQJXDJH LH D XQLW RI ODQJXDJH RUJDQL]HG DURXQG D WKHPH RU SLHFH RI LQIRUPDWLRQ

PAGE 83

7KHPDWLF XQLW\ LV QRW VRPHWKLQJ PHUHO\ LPSXWHG WR D SDUDJUDSK LQ VSHHFK ,W LV WKHUH DQG LV UHIOHFWHG WR RQH H[WHQW RU DQRWKHU E\ YDUn LRXV OH[HPLF JUDPPDWLFDO DQG SKRQRORJLFDO IHDWXUHV ,Q D QDUUDWLYH GLVFRXUVH SDUDJUDSK WKHPHV DUH XVXDOO\ FKDUDFWHUV LQ H[SRVLWLRQ WKH WKHPHV PD\ EH FKDUDFWHUV RU PDQ\ RWKHU NLQGV RI LQIRUPDWLRQ ([DPSOHV ZLOO EH SUHVHQWHG LQ FKDSWHU WKUHH :H FDQ YLHZ WKHVH WKHPDWLFDOO\ XQLILHG XQLWV FDOOHG SDUDJUDSKV DV KDYLQJ WKUHH GLIIHUHQW PRGHV RI VWUXFWXUHf§SKRQRORJLFDO OH[HPLF DQG JUDPPDWLFDO $OWKRXJK RI PRVW LQWHUHVW WR XV LV WKH JUDPPDWLFDO PRGH DOO WKUHH PRGHV WR D JUHDW H[WHQW UHLQIRUFH RQH DQRWKHU ,W LV GRXEWn IXO WKDW WKH JUDPPDWLFDO VWUXFWXUH RI D SDUDJUDSK FDQ EH XQGHUVWRRG ZLWKRXW VWXG\LQJ WKH RWKHU WZR 3DUDJUDSKV KDYH QRW RIWHQ EHHQ XQGHUVWRRG DV KDYLQJ FKDUDFWHULVWLF SKRQRORJLFDO IHDWXUHV %XW DFFRUGLQJ WR .ODPPHU SKRQRORJLFDOO\LQ D FRPSOHWH GHVFULSWLRQ RI GLDORJXH SDUDJUDSKV LW ZRXOG EH QHFHVVDU\ WR DFFRXQW IRU VXFK SKHQRPHQD DV VWUHVV SODFHPHQW MXQFWXUH DQG LQWRQDn WLRQ LQ UHODWLRQ WR WKH SDUDJUDSK OHYHO FRQVWUDLQWV DIIHFWLQJ WKHP f (YHQ HDUOLHU %HFNHU SRLQWHG RXW WKH H[LVWHQFH RI SKRQRORn JLFDO PDUNHUV RI SDUDJUDSK VWUXFWXUH 3DUDJUDSK WDJPHPHV VHHP WR EH PDUNHG E\ VKLIWV LQ SLWFK UHJLVn WHU WHPSR DQG YROXPH ZKHQ SDUDJUDSKV DUH UHDG DORXG :KLOH WKHVH VLJQDOV FDQ EH SHUFHLYHG E\ D WUDLQHG SKRQHWLFLDQ WKH\ KDYH QRW EHHQ DGHTXDWHO\ GHVFULEHG LQ WKH ODERUDWRU\ DQG WKHLU ZULWWHQ FRXQWHU SDUWV KDYH QRW EHHQ LGHQWLILHG f 8QIRUWXQDWHO\ UHVHDUFK LQWR VXFK IHDWXUHV DQG PDUNHUV DV E\ %ULGJHPDQ f DQG /HKLVWH f KDV EHHQ HLWKHU WRR UHFHQW

PAGE 84

RU WRR VSDUVH WR KDYH GHYHORSHG ZHOOWHVWHG WRROV WR H[DPLQH WKHP %ULGJHPDQnV SLRQHHULQJ ZRUN RQ .DLZD FODLPV WKDW RUDO SDUDJUDSKV LQ WKDW ODQJXDJH KDYH RQH RI D VHW RI VL[ SKRQRORJLFDO RQVHWV DQG RQH RI WKUHH SKRQRORJLFDO FRGDV ZLWK DQ RSWLRQDO SHDN SUHFHGLQJ WKH FRGD RI D SDUDJUDSK /HKLVWH KDV DWWHPSWHG WR ILQG ZLWK DV \HW OLWWOH VXFn FHVV WKH SKRQRORJLFDO FRUUHODWHV RI SDUDJUDSK ERXQGDULHV E\ PHDVXULQJ SDXVLQJ OHQJWKHQLQJ DQG SKDU\QJHDOL]DWLRQ DW WKH EHJLQQLQJ DQG HQG RI VHQWHQFHV DQG SDUDJUDSKV 7KH LVRODWLRQ RI WKH SKRQRORJLFDO IHDWXUHV RI SDUDJUDSKV LV WKH VXEMHFW IRU DQRWKHU GLVVHUWDWLRQ 2QO\ RFFDVLRQDO REVHUYDWLRQV UHJDUGn LQJ SKRQRORJLFDO PDWWHUV DUH DGYDQFHG LQ WKLV VWXG\ ZKHQ WKHVH IHDWXUHV DUH FRQFRPLWDQW ZLWK WKH VXUIDFH VWUXFWXUH FRKHVLYH GHYLFHV WKDW ZH DQDO\]H 0RUH WKDQ OLNHO\ D FKDUDFWHULVWLF SDUDJUDSKLQLWLDO OHQJWKHQn LQJ DQGRU SDXVLQJ ZLOO HYHQWXDOO\ EH VKRZQ WR DLG LQ JLYLQJ SDUDJUDSKV FRKHUHQFH 2QH VXVSHFWV KRZHYHU WKDW QR SKRQRORJLFDO VLJQDO ZLOO FDWn HJRULFDOO\ PDUN VRPH SDUW RI D SDUDJUDSKnV VWUXFWXUH :KDW RQH VKRXOG H[SHFW WR ILQG LV WKDW D VLJQLILFDQW FRLQFLGHQFH RI SKRQRORJLFDO DQG JUDPPDWLFDO VLJQDOV FRRFFXU DW WKHPDWLF EUHDNV LQ D GLVFRXUVH ,Q RWKHU ZRUGV SKRQRORJLFDO SDUDJUDSKV VKRXOG EH WR D JUHDW H[WHQW LVRn PRUSKLF ZLWK JUDPPDWLFDO DQG OH[HPLF RQHV 3DUDJUDSK VWUXFWXUH FDQ DOVR EH YLHZHG DV OH[HPLF LQYROYLQJ KRZ WKH VHPDQWLF UHVRXUFHV RI WKH ODQJXDJH RUJDQL]H LQIRUPDWLRQ LQWR D WKHn PDWLF XQLW IRU D JLYHQ NLQG RI GLVFRXUVH $OWKRXJK D SULQFLSOHG PHDQV RI DSSURDFKLQJ WKH OH[HPLF SDUDJUDSK KDV \HW WR EH VDWLVIDFWRULO\ GHn YLVHG TXLWH D IHZ OH[HPLF IXQFWLRQV ZKLFK SDUWLFLSDWH LQ SDUDJUDSK

PAGE 85

VWUXFWXUH KDYH EHHQ SRLQWHG RXW .ODPPHU f ODUJHO\ DGRSWLQJ KLV IXQFWLRQV IURP :LVH f PHQWLRQV DGGLWLRQ RI SDUWLFLSDQW HODEn RUDWLRQ FRPPHQW VSHFLILFDWLRQ FRQWUDVW UHDVRQ VXPPDWLRQ FRQFOXn VLRQ VHWWLQJ DQG UHVXOW %XW LW KDV EHHQ GLIILFXOW WR VKRZ KRZ WKHVH IXQFWLRQV DUH RUJDQL]HG OLQHDUO\ DV /RQJDFUH KDV GRQH IRU WKH JUDPPDWn LFDO XQLWV RI WKH SDUDJUDSK 7KH VHW RI VXFK IXQFWLRQV KDV VHHPHG RSHQHQGHG DQG DW WKH VDPH WLPH ZH KDYH QRW \HW IRXQG DFFRUGLQJ WR 3LNH DQG 3LNH D ZD\ WR WUHDW VRPH RI WKHP LQ D OLQHDU IDVKLRQ LQ RUGHU WR EH DEOH WR SHUFHLYH WKHP DV VRPHWKLQJ nJRLQJ RQ f 7KLV GLIILFXOW\ RI IRUPXODWLQJ WKH OH[HPLF VWUXFWXUH RI DFWXDO SDUDJUDSKV KDV LQ UHFHQW \HDUV FDXVHG OH[HPLF VWUXFWXUH WR EHFRPH YLHZHG DV GHHS LQ FRQWUDVW WR WKH VXUIDFH VWUXFWXUH RI SDUDJUDSKV EHLQJ JUDPPDWLFDO 7KH SUREOHP KDV EHFRPH RQH RI VKRZLQJ KRZ OH[HPLF IXQFWLRQV RU XQLWV ZHUH UHDOL]HG E\ JUDPPDWLFDO RQHV 2WKHUZLVH OH[n HPLF SDUDJUDSKV ZRXOG EH RQO\ K\SRWKHWLFDO 7KH SUREOHP RI WKH H[WHQW RI LVRPRUSKLVP ZDV WDFNOHG E\ :LVH f IRU RUDO QDUUDWLYHV LQ 1RPD WVLJXHQJD DQG IRU ZULWWHQ GLDORJXHV LQ WZR (QJOLVK WH[WV +HQU\ ,9 DQG *UHDW ([SHFWDWLRQVf E\ .ODPPHU f ,W LV XVHIXO WR TXRWH DW OHQJWK WKH UHPDUNV RI :LVH /H[HPLF VWUXFWXUH DV WKH WHUP LV XVHG KHUH LV D YDULHW\ RI GHHS VWUXFWXUH )RU H[DPSOH ORJLFDO VXEMHFW DQG ORJLFDO REMHFW LH DJHQW DQG JRDO DUH FRQVWLWXHQWV RI OH[HPLF FRQn VWUXFWLRQV RQ WKH FODXVH OHYHO ,Q OHYHOV EH\RQG WKH VHQWHQFH WKH OH[HPLF RUGHU RI FRQVWLWXHQWV LV LQ JHQHUDO WKH FKURQRORn JLFDO RUGHU RI HYHQWV LQ WKH QDUUDWLYH 3DUDSKUDVH DQG V\QRn Q\P\ DUH LPSRUWDQW IRU WKH DQDO\VLV RI OH[HPLF VHQWHQFHV DQG SKUDVHV DV ZHOO DV IRU WKH DQDO\VLV RI OH[HPHV ZKLFK DUH SRVLWHG DV WKH PLQLPXP OH[HPLF XQLWV

PAGE 86

,Q FRQWUDVW JUDPPDWLFDO VWUXFWXUH LV D YDULHW\ RI VXUIDFH VWUXFWXUH )RU H[DPSOH JUDPPDWLFDO VXEMHFW DQG JUDPPDWLFDO REMHFW LH VXEMHFW DQG FRPSOHPHQW DUH FRQVWLWXWHQWV RI JUDPn PDWLFDO FRQVWUXFWLRQV RQ WKH FODXVH OHYHO ,Q OHYHOV EH\RQG WKH VHQWHQFH WKH JUDPPDWLFDO RUGHU RI FRQVWLWXWHQWV LV WKH DFWXDO VXUIDFH RUGHU LQ ZKLFK WKH QDUUDWLYH LV WROG 0RUSKHPHV DUH SRn VLWHG DV WKH PLQLPXP JUDPPDWLFDO XQLWV 7KH QDWXUH RI FRQVWLWXHQW XQLWV LQ OH[HPLF FRQVWUXFWLRQV LV UDn GLFDOO\ GLIIHUHQW IURP WKDW RI FRQVWLWXHQW XQLWV LQ JUDPPDWLFDO FRQVWUXFWLRQV EXW WKH ERXQGDULHV RI WKH WZR NLQGV RI FRQVWUXFn WLRQV IUHTXHQWO\ FRLQFLGH +RZHYHU WKH ERXQGDULHV DUH QRW DOZD\V LVRPRUSKLF VR WKDW WKH OH[HPLF DQG JUDPPDWLFDO FRQVWUXFWLRQV FDQn QRW EH PDSSHG RQWR HDFK RWKHU LQ D GLUHFW RQHWRRQH PDQQHU f 7KLV NLQG RI PDSSLQJ FDQ EH HDVLO\ GRQH LQ PDQ\ FDVHV )RU H[DPSOH WKH OH[HPLF IXQFWLRQ RI WKH LQWURGXFWLRQ RI D SDUWLFLSDQW LQWR D SDUDJUDSK LV XVXDOO\ HTXLYDOHQW WR DQG UHDOL]HG LQ WKH WKHPH DQG WKLV LV IXUWKHU UHLQn IRUFHG E\ RQH RI WKH WKHPDWL]LQJ FRKHVLYH GHYLFHVf§OHIW GLVORFDWLRQ LQ PDQ\ FDVHV 7KH OH[HPLF IXQFWLRQ RI VXPPDWLRQ LV VRPHWLPHV LQGLFDWHG E\ WKH NLQG RI VWUXFWXUH ZH DUH FDOOLQJ SHDN VHQWHQFHV EXW WKLV LV QRW DOn ZD\V WKH FDVH 6XFK VHQWHQFHV DOZD\V UHSUHVHQW WKH SHDNV RI SDUDJUDSKV JUDPPDWLFDOO\ EXW RQO\ VRPHWLPHV DUH WKHVH SHDNV WKH UHDOL]DWLRQV RI VXFK VHQWHQFHV 7KH WKLUG DQG PRVW GLVFXVVHG ZD\ WR YLHZ SDUDJUDSK VWUXFWXUH LV JUDPn PDWLFDOO\ 7KH JUDPPDU RI D SDUDJUDSK LV WKH V\VWHP RI XQLWV /RQJDFUHnV FXUUHQW WHUPf RU FRQVWLWXHQWV :LVHnV WHUPf ZKRVH RUGHU LV WKH DFWXDO VXUIDFH VWUXFWXUH RUGHU RI WKH SDUDJUDSK /RQJDFUH )RUWKn FRPLQJf HVSHFLDOO\ KDV ORQJ PDGH WKH FDVH WKDW SDUDJUDSKV DUH JUDPPDWLFDO HQWLWLHV DQG WKDW HDFK W\SH RI SDUDJUDSK QDUUDWLYH H[SODQDWRU\ KRUWDn WRU\ GLDORJXH SUHFDWRU\ HWFf KDV LWV RZQ JUDPPDU +H FRQWHQGV WKDW WKH XQLWV LQ KLV ZRUN KH FDOOV WKHP WDJPHPHV LQ SRVLWLQJ KLV

PAGE 87

SDUDJUDSK IRUPXODH DV ZH ZLOO VHH EHORZf ZKLFK FRQVWLWXWH VXFK HQWLn WLHV DUH RUGHUHG OLQHDUO\ DQG KH SRVLWV D WDJPHPLF IRUPXOD IRU HDFK PDMRU DQG PLQRU W\SH RI SDUDJUDSK LQ /RQJDFUH f $V %HFNHU f ULJKWO\ SRLQWV RXW WKH GHVFULSWLRQ RI SDUDJUDSKV DV JUDPPDWLFDO HQWLWLHV RZHV PXFK WR WUDGLWLRQDO UKHWRULF /RQJDFUHnV DQG HVSHFLDOO\ %HFNHUnV IRUPXODH IRU H[SRVLWRU\ SDUDJUDSKV UHVHPEOH FORVHO\ ORQJHPSOR\HG IRUPXODH IRU SDUDJUDSK GHYHORSPHQW LQ UKHWRULF WH[WV %HFNHUnV FRQWHQWLRQ LV WKDW WKH PDMRULW\ RI H[SRVLWRU\ SDUDn JUDSKV DUH RUJDQL]HG JUDPPDWLFDOO\ LQ HLWKHU D 75, 7RSLF5HVWULFWLRQ OXVWUDWLRQf RU D 36 3UREOHP6ROXWLRQf IDVKLRQ /RQJDFUHnV PDMRU FRQWULEXWLRQV WR WKH VWXG\ RI WKH JUDPPDU RI SDUD JUDSKV OLH LQ WKH DIRUHPHQWLRQHG IRUPXODH DQG LQ KLV V\VWHPDWLF GHOLQHD WLRQ RI SDUDJUDSK W\SHV /RQJDFUH f DQG GLVFRXUVH W\SHV /RQJDFUH f RQ WKH RULJLQDO EDVLV RI VWXG\LQJ SDUDJUDSKV DQG GLVFRXUVHV LQ WZHQW\ILYH 3KLOLSSLQH ODQJXDJHV DQG GLDOHFWV +LV JHQHUDO IRUPXOD IRU WKH WDJPHPHV FRQVWLWXWLQJ H[SODQDWRU\ SDUDJUDSKV LQ WKH YDULRXV ODQJXDJHV LV L35(/,0 7(;7 s(;3 75($621 s5(68/7 A:$51,1*f A7(50,1$/ f :LWK 7(;7 DV WKH RQO\ REOLJDWRU\ WDJPHPH WKLV IRUPXOD FDQ FOHDUO\ DFn FRPRGDWH DQ LQGHILQLWHO\ ODUJH QXPEHU RI GLIIHUHQW SDWWHUQV VLQFH (;32 H[SRVLWLRQf FDQ RFFXU DQ LQGHILQLWH QXPEHU RI WLPHV LQ SDUDJUDSKV S f /RQJDFUH YLHZV 7(;7 DV PXFK OLNH WKH WRSLF VHQWHQFH RI WUDn GLWLRQDO UKHWRULF S f :H WDNH WKH IRUPXODUL]DWLRQ RI WKH JUDPn PDU RI JHQHUDO SDUDJUDSK W\SHV WR EH D GHVLUDEOH JRDO EXW LW LV QRW

PAGE 88

FOHDU \HW KRZ WLJKWO\ RQH FDQ EH GHYLVHG IRU H[SRVLWLRQV LQ (QJOLVK /RQJDFUHnV TXHVW IRU D IRUPXOD IRU WKH OLQHDU RUJDQL]DWLRQ RI SDUDn JUDSKV VHUYHV DV D SUDFWLFDO PRGHO IRU XV RXU VWXG\ IRFXVHV RQ WZR RI WKH XQLWV /RQJDFUH SRVLWV LQ KLV IRUPXOD IRU H[SRVLWRU\H[SODQDWRU\ SDUDJUDSKV /RQJDFUH KDV UHYLVHG KLV YLHZV RQ WZR RI KLV XQLWV RU WDJPHPHV DV KH FDOOHG WKHP LQ f 7H[W DQG 3HDN 2ULJLQDOO\ OLNHQLQJ 7H[W WR D SDUDJUDSKnV WRSLF VHQWHQFH KH LQGLFDWHV WKDW WKH REOLJDWRU\ XQLW LQ D SDUDJUDSK LV WKH WKHPH WKDW SLHFH RI LQIRUPDWLRQ ZKLFK D SDUDn JUDSK LV EXLOW DURXQG DQG ZKLFK IRU DQ H[SRVLWRU\ SDUDJUDSK LV QRW GLIIHUHQW LQ NLQG IURP D WKHPDWLF SDUWLFLSDQW LQ D QDUUDWLYH SDUDn JUDSK )RUWKFRPLQJ f 7KH GLVWLQFWLRQ EHWYHHQ D WRSLF VHQWHQFH DQG D WKHPDWLF SLHFH RI LQIRUPDWLRQ LV DQ LQYDOXDEOH RQH HVSHFLDOO\ LW LV WKH SLHFH RI LQIRUPDWLRQ D SDUWLFLSDQW RU ZKDWHYHUf ZKLFK WKURXJK DQ DQDSKRUD FKDLQ JLYHV WKHPDWLF XQLWV WR D SDUDJUDSK 7KLV PRVW UHFHQW YLHZ RI /RQJDFUHnV WKDW D SDUDJUDSK KDV DQ REOLJDWRU\ WKHPH LV FRQVLVn WHQW ZLWK WKH RQH ZH PDLQWDLQ KHUH ,Q KLV HDUOLHU YLHZ /RQJDFUH FRQVLGHUHG 3HDN WR EH RQO\ RQH DVn SHFW RI 7H[W +H VWDWHV WKDW 7H[W LV WKH 3($. JUDPPDWLFDOO\ DQG OH[n LFDOO\ RI LWV SDUDJUDSK $V 3($. RI LWV SDUDJUDSK WKH 7(;7 FRQWUDVWV LQ SODFHPHQW ZLWK WKH 3($. %8Q RU 67(3Sf RI 1$55$7,9( DQG 352&('85$/ 3$5$*5$3+6 ZKLFK FRPH ODWHU LQ WKH SDUDJUDSK fA ,Q D ODWHU ZRUN KH LQGLFDWHV WKDW 3HDN LV WKH SORWOLNH HOHPHQW RSWLRQDOO\ SUHVn HQW LQ QRQQDUUDWLYH DV ZHOO DV QDUUDWLYH SDUDJUDSKV /RQJDFUH f ,W FRPHV QHDU WKH HQG RI DQG UHSUHVHQWV D NLQG RI FOLPD[ RU

PAGE 89

GHQRXHPHQW WR WKH SDUDJUDSK /RQJDFUHnV PRVW UHFHQW YLHZ RI 3HDN LV DQ HYHQ PRUH UHILQHG RQH )RU GLVFRXUVHV WKDW DUH QRW QDUUDWLYH EXW VWLOO KDYH D FOLPD[ RI GHYHORSPHQW WKH SHDN PD\ PDUN WDUJHW SURFHGXUH LQ D SURFHGXUDO GLVFRXUVH FOLPDFWLF H[KRUWDWLRQ LQ D EHKDYLRUDO GLVFRXUVH RI WKH KRUWDWRU\ YDULHW\ DQG D PRVW VDWLVIDFWRU\ RU FXOPLQDWLQJ H[SODQDWLRQ LQ H[SRVLWRU\ GLVFRXUVH /RQJDFUH DQG /HYLQVRKQ f ,I ZH ORRN EDFN WR WKH H[SRVLWLRQ DERYH DW WKH VHQn WHQFH WKHUHLQ WKLQN WKLV LV WKH JUHDWHVW FKDQJH WKDW KDV KDSSHQHG LQ RXU WRZQ LV WR KDYH QHZ SHRSOH FRPLQJ LQ ZLWK QHZ EORRG QHZ WKRXJKWV QHZ LGHDV QHZ DSSURDFK WR WKLQJVf ZH VHH FOHDUO\ WKDW WKLV VHQWHQFH UHSUHVHQWV WKH FXOPLQDWLQJ H[SODQDWLRQ DQG WKDW LW LV WKH SHDN RI WKLV RQHSDUDJUDSK H[SRVLWLRQ 2XU FKDSWHU IRXU EHORZ LV ODUJHO\ GHYRWHG WR VKRZLQJ KRZ VXFK VHQWHQFHV LQGLFDWH WKH SHDNV RI SDUDJUDSKV ,Q WKH UHPDLQGHU RI WKLV VWXG\ ZH VKRZ WKH H[WHQW WR ZKLFK ZH FDQ ILQG WKDW FHUWDLQ VXUIDFH VWUXFWXUH FRKHVLYH GHYLFHV DUH DVVRFLDWHG ZLWK JUDPPDWLFDO XQLWV RI H[SRVLWRU\ SDUDJUDSKV $W WKLV SRLQW ZH VKRXOG DVN ZK\ ZH ILQG VXUIDFH VWUXFWXUH FRKHn VLYH GHYLFHV VXFK DV WKHPDWL]LQJ FRQVWUXFWLRQV DQG SHDN VHQWHQFHV DW DOO VLQFH WKHLU XVH LV QRW FDWHJRULFDO /HIW GLVORFDWLRQ DV ZH ZLOO VHH LQ FKDSWHU WKUHH LV HPSOR\HG LQ RQO\ VOLJKWO\ PRUH WKDQ RQHILIWK RI LWV SRWHQWLDO FDVHV ,I OHIW GLVORFDWLRQ LV RSWLRQDO DV DUH RWKHU WKHPDWL]LQJ FRQVWUXFWLRQV LQ (QJOLVK ZK\ GR VSHDNHUV XVH LW DW DOO" :K\ LV LW WKDW JUDPPDWLFDO XQLWV RI WKH SDUDJUDSK DUH VRPHWLPHV RYHUWO\ PDUNHG E\ D VSHFLILF VWUXFWXUDO UHIOH[" :H ZLOO VXJJHVW KHUH

PAGE 90

WKDW VXFK GHYLFHV RFFXU EHFDXVH WKH\ VHUYH FHUWDLQ RI D VSHDNHUnV SUDJPDWLF SXUSRVHV 7KH VSHDNHUnV SULPDU\ SXUSRVH LQ H[SRVLWLRQ LV WR FRQYH\ QHZ LQIRUn PDWLRQ WR WKH KHDUHU )RU WKLV UHDVRQ WKH VSHDNHUSURGXFHU RI D GLVn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n UHQWO\ EH XVHG DOVR IRU RWKHU SUDJPDWLF UHDVRQV EDVLFDOO\ WKH\ VHHP WR IDFLOLWDWH WKLV JLYHQQHZ FRQWUDFW EHWZHHQ WKH VSHDNHU DQG WKH KHDUHU 7KHPDWLF GHYLFHV SUHVHQW WR WKH KHDUHU ZKDW QHZ LQIRUPDWLRQ ZLOO EH FRPn PHQWHG RQ LQ DQ HQVXLQJ PHVVDJH 7KLV SLHFH RI LQIRUPDWLRQ UHSUHVHQWV ZKDW ZLOO EH WKHPDWLF IRU ZKDW IROORZV DQG KDV WKH SRWHQWLDO IRU EHLQJ WKH DQWHFHGHQW IRU WKH IROORZLQJ EORFN RI GLVFRXUVH ,W LV RQO\ LI WKH KHDUHU KDV VXFK D SLHFH RI LQIRUPDWLRQ WKH WKHPH FOHDUO\ LQ PLQG WKDW KHVKH FDQ FRPSXWH ZKDW WKH VSHDNHU VD\V ,W LV SUREDEOH WKDW WKH XVH RI FRKHVLYH GHYLFHV LV HVSHFLDOO\ IDn YRUHG E\ D VSHDNHU LQ FHUWDLQ SUDJPDWLF VLWXDWLRQV /HIW GLVORFDWLRQ

PAGE 91

IRU LQVWDQFH VHHPV PRUH OLNHO\ WR EH XVHG ZKHQ D VSHDNHU ZLVKHV WR EH HPSKDWLF WR VKRZ D FRQWUDVW RU WR PDNH D SDUWLFXODUO\ DEUXSW SRLQW $OWKRXJK WKH SULPDU\ IXQFWLRQ RI OHIW GLVORFDWLRQV LV WR LQWURGXFH QHZ WKHPHV RXU FRUSXV KDV WKLUW\ ILYH LQVWDQFHV RI OHIW GLVORFDWLRQ LQYROn YLQJ JLYHQ LQIRUPDWLRQ ZKHQ D VSHDNHU ZLVKHV WR UHHPSKDVL]H D SLHFH RI LQIRUPDWLRQ HPSKDWLFDOO\ ,Q QHDUO\ WHQ SHUFHQW RI RXU OHIW GLVORFDn WLRQV RXW RI f ZH ILQG WKH GLVORFDWHG 13 LPPHGLDWHO\ SUHFHGHG E\ EXW RU KRZHYHU VKRZLQJ WKDW WKH VSHDNHU FRQWUDVWV WKRVH 13V ZLWK HDUOLHU RQHV ,Q VHYHQ LQVWDQFHV ZH ILQG WKDW D OHIW GLVORFDWLRQ LV LPPHGLDWHO\ IROORZHG E\ DQ LGHQWLI\LQJ VHQWHQFH DV LQ f 7KUHVKLQJ IORRUV WKDWnV ZKDW WKH\ KDG ,OOf 7KLV VKRZV WKDW D VSHDNHU ZLVKHV WR PDNH DQ HVSHFDLOO\ DEUXSW SRLQW DERXW D WKHPH ,Q WKH UHPDLQLQJ FKDSWHUV RI WKLV GLVVHUWDWLRQ D VWURQJ FDVH LV PDGH WKDW ZH FDQQRW XQGHUVWDQG KRZ H[SRVLWRU\ GLVFRXUVH LV RUJDQL]HG ZLWKRXW FRQVLGHULQJ WKH VXSHUVHQWHQWLDO RU GLVFRXUVH FRQWH[W RI FHUn WDLQ FRKHVLYH GHYLFHV ,I WKLV LV WUXH LW VHHPV WR LPSO\ VRPHWKLQJ DERXW KRZ D VSHDNHU FRPPXQLFDWHV WR D KHDUHU &RKHVLYH GHYLFHV WKH IRUPDO VLJQDOV RI WKH ODQJXDJH LQ ZKLFK D GLVFRXUVH LV H[SUHVVHG VHHP WR DLG D VSHDNHU LQ FRPPXQLFDWLQJ WKH KLHUDUFKLFDO VWUXFWXUH RI D GLVFRXUVH OLQHDUO\ 7KLV LV DQRWKHU ZD\ RI VD\LQJ WKDW VXFK GHYLFHV FRPPXQLFDWH WKH RXWOLQH LPSOLFLWO\ RI FRXUVHf RI DQ RQJRLQJ GLVFRXUVH WR D KHDUHU

PAGE 92

/RQTDFUHnV 7\SRORJ\ RI 'LVFRXUVH *HQUHV ,W ZDV LQGLFDWHG LQ FKDSWHU RQH WKDW IRU SUDFWLFDO UHDVRQV WKH ILHOGZRUNHU FKRVH WR HOLFLW H[SRVLWLRQV UDWKHU WKDQ RWKHU W\SHV RI RUDO GLVFRXUVH LQ WKH :KLWH 3LQH FRPPXQLW\ ,W ZDV DSSDUHQW WKDW H[SRVLn WLRQV ZHUH WKH W\SH PRVW UHDGLO\ HOLFLWDEOH IURP WKH FURVVVHFWLRQ RI SHRSOH WKDW KH ZLVKHG WR LQWHUYLHZ $OVR LW ZDV GHFLGHG WKDW WKH FROn OHFWLRQ RI D ODUJH FRUSXV RI H[SRVLWLRQV UDWKHU WKDQ VPDOOHU FRUSRUD RI WZR RU PRUH W\SHV RI GLVFRXUVH ZRXOG EH PRUH FRQGXFLYH WR JHQHUDOL]Dn WLRQV DERXW H[SRVLWLRQV 7KDW H[SRVLWLRQ LV D GLVWLQJXLVKDEOH GLVFRXUVH W\SH LV QRW DQ DG KRF SUHVXPSWLRQ RQ RXU SDUW ,W LV D K\SRWKHVLV EDVHG RQ WKH W\SRORJ\ RI GLVFRXUVHV GHYHORSHG E\ /RQJDFUH f ,Q KLV VWXG\ RI WZHQW\ILYH ODQJXDJHV DQG GLDOHFWV LQ WKH 3KLOLSSLQHV /RQJDFUH DQG KLV FROOHDJXHV XQGHUWRRN WKH EDVLF VSDGHZRUN RI VRUWLQJ RXW ZKLFK GLVFRXUVH W\SHV FRXOG EH GHVFULEHG DFURVV WKH ODQJXDJHV VWXGLHG 7KH W\SRORJ\ RI GLVFRXUVHV ZKLFK UHVXOWHG KDV SURYLGHG D SUDFWLFDO IUDPHZRUN IRU IXUn WKHU LQYHVWLJDWLRQV ZLWK RWKHU ODQJXDJHV DV WKLV VWXG\ LV DQ LQYHVWLJDn WLRQ LQWR WKH (QJOLVK RI WKH 6RXWKHUQ $SSDODFKLDQ UHJLRQ /LPLWLQJ KLPVHOI WR SURVH PRQRORJXHV /RQJDFUH LQGLFDWHV WKDW IRXU JHQUHV RI VXFK PRQRORJXHV QDUUDWLYH H[SRVLWRU\ SURFHGXUDO DQG KRUn WDWRU\f KDYH FRPPRQ FKDUDFWHULVWLFV FURVVLQJXLVWLFDOO\ DQG WKDW ZLWKLQ DQ\ JLYHQ ODQJDXJH WKHUH DUH D ILQLWH QXPEHU RI RWKHU JHQUHV :H PD\ FKDUDFWHUL]H WKH IRXU PDLQ JHQUHV DV IROORZV QDUUDWLYH GLVn FRXUVH UHODWHV D VWRU\ RI VRPH NLQG H[SRVLWRU\ GLVFRXUVH H[SODLQV VRPHWKLQJ RU H[SRVHV D VXEMHFW SURFHGXUDO GLVFRXUVH HJ D UHFLSHf

PAGE 93

WHOOV KRZ WR GR VRPHWKLQJ DQG KRUWDWRU\ GLVFRXUVH HQGHDYRUV WR EULQJ DERXW D FKDQJH RI VRPH NLQG 7KH PDMRU SDUDPHWHUV DORQJ ZKLFK WKHVH IRXU JHQUHV DUH GLVWLQn JXLVKHG DUH VKRZQ LQ )LJXUH RQ WKH IROORZLQJ SDJH DQG DGRSWHG IURP /RQJDFUH f 7KH URZV LQ WKLV ILJXUH GLVWLQJXLVK WKRVH JHQUHV ZKLFK DUH VXFFHVVLRQ KDYLQJ D VHTXHQFH LQ WLPHf DQG WKRVH ZKLFK DUH VXFFHVVLRQ ODFNLQJ D VHTXHQFH LQ WLPHf 7KH FROXPQV GLVWLQJXLVK WKH SURMHFWLRQ RFFXUULQJ LQ WKH IXWXUHf IURP WKH SURMHFWLRQ WKRVH KDYn LQJ DFFRPSOLVKHG WLPH RU LQ ZKLFK WKH WLPH IUDPH LV QRW IRFDOf JHQUHV ORQJDFUHnV VFKHPH IXUWKHU LQGLFDWHV WKH SHUVRQ RULHQWDWLRQ RI HDFK RI WKH IRXU JHQUHV $FFRUGLQJ WR /RQJDFUHnV W\SRORJ\ QDUUDWLYH GLVFRXUVH FKDUDFWHULVn WLFDOO\ LQYROYHV D VHTXHQFH LQ WLPH RFFXUV LQ DQ DFFRPSOLVKHG SDVWf WLPH IUDPH LV DJHQWRULHQWHG DQG LV UHODWHG IURP WKH ILUVW RU WKLUG SHUVRQ SRLQW RI YLHZ 3URFHGXUDO GLVFRXUVH DOVR LQYROYHV D VHTXHQFH LQ WLPH EXW RFFXUV LQ D SURMHFWHG WLPH IUDPH LV SDWLHQWRULHQWHG DQG LV QRW UHODWHG IURP WKH SRLQW RI YLHZ RI D VSHFLILF SHUVRQ +RUWDWRU\ GRHV QRW LQYROYH D VHTXHQFH LQ WLPH LV VHW LQ SURMHFWHG WLPH LV DGn GUHVVHHRULHQWHG DQG LV UHODWHG IURP VHFRQG SHUVRQ SRLQW RI YLHZ +RUn WDWRU\ GLVFRXUVH VWULFWO\ VSHDNLQJ GRHV QRW KDYH D WLPH IUDPH EXW D PRGHf§VLQFH WKH VSHDNHU LV ZLVKLQJ RU XUJLQJ WKDW VRPHWKLQJ WDNH SODFH ([SRVLWRU\ GLVFRXUVH QHHG QRW LQYROYH D VHTXHQFH LQ WLPH QRU GRHV LW QHFHVVDULO\ KDYH HLWKHU DQ DFFRPSOLVKHG RU D SURMHFWHG WLPH IUDPH WLPH LV QRW IRFDOf ([SRVLWRU\ GLVFRXUVH LV VXEMHFW PDWWHURULHQWHG DQG KDV QR QHFHVVDU\ SHUVRQ UHIHUHQFH SRLQW RI YLHZf ,W LV HVVHQWLDOO\ LPn SHUVRQDO DQG PD\ LQYROYH HLWKHU LQDQLPDWH RU DQLPDWH HQWLWLHV ,I

PAGE 94

352-(&7(' 352-(&7(' V 1$55$7,9( 352&('85$/ X SHUVRQ 1RQVSHFLILF SHUVRQ F $JHQW RULHQWHG 3DWLHQW RULHQWHG F $FFRPSOLVKHG WLPH 3URMHFWHG WLPH ( &KURQRORJLFDO OLQNDJHV &KURQRORJLFDO OLQNDJH V V 1 V (;326,725< +257$725< X 1R QHFHVVDU\ SHUVRQ UHIHUHQFH SHUVRQ F 6XEMHFW PDWWHU RULHQWHGf $GGUHVVHH RULHQWHG F 7LPH QRW IRFDO 0RGH QRW WLPHf ( /RJLFDO OLQNDJH /RJLFDO OLQNDJH V V R 1 'LDJUDP 'HHS VWUXFWXUH JHQUH )LJXUH 'HHS 6WUXFWXUH *HQUH )URP /RQJDFUH f

PAGE 95

LW EULQJV LQ SHRSOH /RQJDFUH VD\V WKH\ DUH VLPSO\ VXEMHFWV RI H[SODQDWLRQ DQG DQDO\VLV f 0RUH UHFHQWO\ /RQJDFUH KDV IXUWKHUHG HODERUDWHG KLV VFKHPH E\ DGGLQJ DQRWKHU SDUDPHWHU IWHQVLRQf :KDW KH VD\V DERXW WHQVLRQ FKDUn DFWHUL]LQJ VRPH GLVFRXUVHV LV ZRUWK UHSHDWLQJ 7KH ILQDO SDUDPHWHU sWHQVLRQ DOVR DSSOLHV WR DOO WKH DERYH GLVn FRXUVH JHQUHV 1DUUDWLYH GLVFRXUVH LV SXUHO\ HSLVRGLF LI LW FRQWDLQV HVVHQWLDOO\ QR VWUXJJOH RU SORW IRU H[DPSOH :LOOD &DWKHUnV QRYHO 6KDGRZ RQ WKH 5RFNf 6XFK GLVFRXUVH LV FRQVLn GHUHG WR EH WHQVLRQ 0RVW VWRULHV KRZHYHU LQYROYH VRPH VRUW RI VWUXJJOH RU SORW DQG DUH FOHDUO\ WHQVLRQ 6LPLODUO\ LQ SURFHGXUDO GLVFRXUVH WKHUH DUH VRPH GLVFRXUVHV ZKLFK DUH PRUH RU OHVV URXWLQH ZKLOH RWKHUV LQYROYH VWUXJJOH DQG DOWHUn QDWLYHV DQG DUH WKHUHIRUH WHQVLRQ %RWK EHKDYLRUDO >KRUWDn WRU\@ DQG H[SRVLWRU\ GLVFRXUVH KDYH YDULHWLHV LQ ZKLFK DUJXn PHQWDWLRQ LV DVVXPHG 7KHVH DUH DOVR WHQVLRQ 'LVFRXUVHV RI WKHVH JHQUH ZKLFK GR QRW KDYH WKLV FKDUDFWHULVWLF DUH WHQVLRQ /RQJDFUH DQG /HYLQVRKQ f ZH PHQWLRQ WKLV WKLUG SDUDPHWHU EHFDXVH LW FRQFHUQV WKH SUHVHQFH RU DEVHQFH RI D SHDN LQ WKH GLVFRXUVH f,I D GLVFRXUVH LV SOXV WHQVLRQ WKHUH ZLOO PRVW OLNHO\ EH VRPH NLQG RI FOLPD[ RI GHYHORSPHQW VRPH PDUNHG VXUIDFH VWUXFWXUH fSHDN /RQJDFUH f 7KLV LV D SULn PDU\ FRQFHUQ RI FKDSWHU IRXU /RQJDFUHnV FKDUDFWHUL]DWLRQ RI H[SRVLWLRQV DSSHDUV WR KDYH FRQVLn GHUDEOH YDOLGLW\ IRU WKH H[SRVLWLRQV FRQVWLWXWLQJ RXU FRUSXV DOWKRXJK LW PXVW EH SRLQWHG RXW WKDW /RQJDFUHnV W\SHV DUH SXUH ,Q DFWXDOLW\ GLVFRXUVHV RIWHQ RI GLIIHUHQW W\SHV DUH HPEHGGHG ZLWKLQ RQH DQRWKHU )RU H[DPSOH ZLWKLQ DQ H[SRVLWLRQ PD\ EH HPEHGGHG D VKRUW QDUUDWLYH IRU EDFNJURXQG RU LOOXVWUDWLYH SXUSRVHV /RQJDFUH UHFRJQL]HV WKLV LQ YLHZLQJ KLV JHQUHV DV GHHS VWUXFWXUH RQHV ZKLFK DUH VRPHWLPHV VNHZHG LQ WKH VXUIDFH VWUXFWXUH f

PAGE 96

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f XVH UHIHUHQWLDO WR UHIHU WR VXFK FRQFHSWV 6WUDWLILFDWLRQDOLVWV XVH WKH WHUP VHPH PL F )RU /RQJDFUH WHUPV H[SODQDWRU\ DQG H[SRVLWRU\ DUH HTXLYDOHQW LQ KLV VWXG\ 6WHS DQG %8 %XLOG 8Sf DUH WKH REOLJDWRU\ WDJPHPHV LQ SURFHGXUDO DQG QDUUDWLYH SDUDJUDSKV ,Q KLV ZRUN /RQJDFUH GRHV QRW GLVWLQJXLVK GHVFULSWLRQ IURP H[SRVLWLRQ DQG ZH ZLOO FRQVLGHU GHVFULSWLRQ D VXEW\SH RI H[SRVLn WLRQ KHUH

PAGE 97

&+$37(5 ,,, 7+(0$7,& '(9,&(6 *HQHUDO 5HPDUNV ,W LV LQGLFDWHG LQ FKDSWHU WZR WKDW D VSHDNHU PD\ XVH FHUWDLQ FRQVWUXFWLRQV NQRZQ DV FRKHVLYH GHYLFHV WR VLJQDO WR D KHDUHU ZKDW WKH WKHPH RI D IROORZLQJ EORFN RI WKH VSHDNHUnV PHVVDJH ZLOO EH 7KHPH LV WKH REOLJDWRU\ XQLW RI VXFK D EORFN RU SDUDJUDSK DQG LV GHn ILQHG DV WKH SLHFH RI LQIRUPDWLRQ QRW QHFHVVDULO\ D KXPDQ SDUWLFLSDQWf ZKLFK LQLWLDWHV DQ DQDSKRUD FKDLQ DQG ZKLFK WKH EORFN LV DERXW $On WKRXJK LW PXVW EH JHQHUDOL]HG WR D'SO\ WR DOO SDUDJUDSKV WKLV QDUURZ GHILQLWLRQ RI WKHPH GHPRQVWUDEO\ DSSOLHV WR WKRVH SDUDJUDSKV LQ RXU FRUSXV EHJLQQLQJ ZLWK WKHPDWLF GHYLFHV ,Q WKLV FKDSWHU RXU FRQFHSW RI WKHPH LV FRPSDUHG ZLWK RWKHUV +DOOLGD\ )LUEDV -RQHV f DQG ZH GLVFXVV EULHIO\ WKRVH FRQVWUXFWLRQV WKDW WKHVH WUHDWPHQWV HVSHFLDOO\ -RQHVf FRQVLGHU WR EH WKHPDWLF GHYLFHV 7KH PDLQ SRUWLRQ RI WKH FKDSWHU H[SORUHV WKH QDWXUH IXQFWLRQVf DQG GLVWULEXWLRQ RI RQH SDUWLFXODU GHYLFHf§OHIW GLVORFDn WLRQ 7KLV LV RQH YHU\ FRPPRQ GHYLFH WKURXJK ZKLFK SDUDJUDSKV DUH IRUPHG LQ WKLV FRUSXV RI H[SRVLWRU\ PRQRORJXHV )LQDOO\ ZH ORRN DW H[LVWHQWLDO VHQWHQFHV LQ WKH FRUSXV DQG VHH KRZ WKH\ DOVR IXQFWLRQ DV WKHPDWLF GHYLFHV 7KH\ DOVR FRPSOHPHQW OHIW GLVORFDWLRQ 0RUH RIWHQ WKDQ QRW WKHPHV DUH UHIOHFWHG E\ DQDSKRUD FKDLQV H[n WHQGLQJ IRU PRUH WKDQ RQH VHQWHQFH $Q DQDSKRUD FKDLQ LV D VWULQJ RI

PAGE 98

VXEVWLWXWHV SURQRXQV IRU WKH PRVW SDUWf LQ D SDUDJUDSK RI ODQJXDJH ZKLFK UHIHU WR D FRPPRQ SLHFH RI LQIRUPDWLRQ RU WKHPH DQG LV D VSHFLDO NLQG RI HTXLYDOHQFH FODVV $FFRUGLQJ WR %HFNHU f DQ HTXLYDOHQFH FODVV LQFOXGHV QRW RQO\ SURQRXQV DQG GHPRQVWUDWLYHV EXW DOVR WKH UHSHn WLWLRQ RI ZRUGV DQG WKHLU V\QRQ\PV $OWKRXJK QRW HYHU\ SDUDJUDSK LQ RXU FRUSXV KDV DQ DQDSKRUD FKDLQ WKRVH ZKLFK EHJLQ ZLWK D OHIW GLVn ORFDWHG 13 QHDUO\ DOZD\V GR ,Q WKH WZR IROORZLQJ H[DPSOHV WKH OLQNV RI WKH DQDSKRUD FKDLQV DUH XQGHUOLQHG f )LHOGZRUNHU +DYH \RX SDUWLFLSDWHG LQ DQ\ RI WKH 3LQH 'D\ FHOHn EUDWLRQV KHUH LQ WRZQ" +DYH \RX DWWHQGHG DQ\ RI WKHP" ,QIRUPDQW
PAGE 99

LQWXLWLYH QRWLRQ EXW WKDW LW GHPRQVWUDEO\ RUJDQL]HV D EORFN RI GLVn FRXUVH 2XU YLHZ RI WKHPH DV WKDW LQIRUPDWLRQ ZKLFK XQLILHV D EORFN RI GL RXUVH DQG ZKLFK RIWHQ LV UHIOHFWHG E\ DQ DQDSKRUD FKDLQ LV QRW LQFRQn VLVWHQW ZLWK RWKHU YLHZV IRXQG LQ WKH OLWHUDWXUH )RU +DOOLGDY 7KHPH LV FRQFHUQHG ZLWK WKH LQIRUPDWLRQ VWUXFWXUH RI WKH FODXVH ZLWK WKH VWDWXV RI WKH HOHPHQWV QRW DV SDUWLFLSDQWV LQ H[WUDOLQ JXLVWLF SURFHVVHV EXW DV FRPSRQHQWV RI D PHVVDJH ZLWK WKH UHOD WLRQ RI ZKDW LV EHLQJ VDLG WR ZKDW KDV JRQH EHIRUH LQ WKH GLVn FRXUVH DQG LWV LQWHUQDO RUJDQL]DWLRQ LQWR DQ DFW RI FRPPXQLFDn WLRQ f +DOOLGD\nV SRVLWLRQ LV WKDW WKHPH LV LQYROYHG LQ ERWK FODXVH DQG GLVn FRXUVH VWUXFWXUH 7KHPH LV ZKDW FRPHV ILUVW LQ D FODXVH DQG DURXQG ZKLFK WKH UHPDLQGHU RI D FODXVH LV VWUXFWXUHG f %XW DOVR WKHPH LV WKDW LQIRUPDWLRQ ZKLFK LV EHLQJ WDONHG DERXW S f DQG ZKLFK DVVLJQV WR WKH GLVFRXUVH D VWUXFWXUH ZKLFK LV LQGHSHQGHQW RI VHQn WHQFH VWUXFWXUH DQG WKURXJK ZKLFK WKH VSHDNHU ERWK RUJDQL]HV WKH DFW RI FRPPXQLFDWLRQ LQWR D FKDLQ RU PHVVDJH EORFNV WKH nLQIRUPDWLRQ XQLWVn DQG VSHFLILFV ZLWKLQ HDFK PHVVDJH EORFN WKH YDOXH RI WKH FRPSRQHQWV LQ WKH SURJUHVVLRQ RI WKH GLVn FRXUVH S f +DOOLGD\nV H[SUHVV FRQFHUQ KRZHYHU LV QRW WR VKRZ KRZ D WKHPH SDUWLn FLSDWHV LQ GLVFRXUVH EXW WR H[SORUH WKH PDQ\ FKRLFHV WKDW D VSHDNHU KDV IRU WKHPH DQG KRZ D FODXVH LV RUJDQL]HG DURXQG VXFK FKRLFHV 7R VXSSRUW KLV FODLQ WKDW WKH VRHDNHU KDV ZLWKLQ FHUWDLQ OLPLWV WKH RSn WLRQ RI VHOHFWLQJ DQ\ HOHPHQW LQ WKH FODXVH DV WKHPDWLF S f KH VKRZV WKH YDULHW\ RI GLIIHUHQW HOHPHQWV ZKLFK PD\ EH IURQWHG DQG WKXV

PAGE 100

WKHPDWL]HG LQ VHQWHQFHV ZLWK LQYHUWHG ZRUG RUGHU SS f ,Q VHQn WHQFHV DQG EHORZ IRU H[DPSOH D GLUHFW REMHFW DQG D WHPSRUDO DGn YHUE DUH WKHPDWL]HG f 7KHVH KRXVHV P\ JUDQGIDWKHU VROG f 7RPRUURZ -RKQnV WDNLQJ PH WR WKH WKHDWUH 6HQWHQFHV ZLWK VXFK LQYHUVLRQV DUH YHU\ LQIUHTXHQW LQ RXU GDWD EXW +DO LGD\nV JHQHUDO FODLP DERXW WKH NLQGV RI HOHPHQWV ZKLFK PD\ EH WKHPHV PDWFKHV FORVHO\ WKRVH WKHPDWL]HG E\ OHIW GLVORFDWLRQ VKRZQ ODWHU LQ WKLV FKDSWHU 7KH SUHVHQW VWXG\ WDNHV D VWHS EH\RQG +DOOLGD\ E\ H[DPLQLQD KRZ D WKHPH UHODWHV WR D FRQWH[W EH\RQG LWV LPPHGLDWH VHQWHQFH EXW RXU YLHZ RI WKHPH LV FRQVLVWHQW ZLWK +DOOLGD\nV 1RZKHUH GRHV KH VWDWH WKDW D WKHPHnV GRPDLQ LV ERXQGHG E\ LWV LPPHGLDWH VHQWHQFH DQG ZH PD\ UHDVRQn DEO\ LQIHU WKDW KH ZRXOG DJUHH ZLWK RXU ILQGLQJ WKDW WKHPH SOD\V DQ LPSRUWDQW UROH LQ RUJDQL]LQJ D SDUDJUDSK ,Q WKH 3UDJXH 6FKRRO YLHZ WKHPH KDV WR GR ZLWK WKH LQIRUPDWLRQ VWUXFWXUH RI D VHQWHQFH 7KH HOHPHQWVf RI D VHQWHQFH ZKLFK DUH JLYHQ SUHYLRXVO\ PHQWLRQHG LQ D GLVFRXUVHf FRQVWLWXWH WKDW VHQn WHQFHnV WKHPH 7KH WKHPH QHHG QRW DSSHDU LQ LQLWLDO RU LQ DQ\ RWKHU VHQWHQFH SRVLWLRQ DQG D VHQWHQFH QHHG QRW KDYH DQ\ JLYHQ LQIRUPDWLRQ ,I LW GRHV QRW LW KDV QR WKHPH )LUEDV f 'DQHV DQG )LUEDV FRQWHPSRUDU\ PHPEHUV RI WKH 3UDJXH 6FKRRO FRQWLQXH WKLV WUDGLWLRQ )LUEDVn YLHZ RI WKHPH KRZHYHU LV PXFK OHVV VLPLODU WR WKH RQH ZH WDNH KHUH EHFDXVH LW LV H[SOLFLWO\ FRQILQHG WR WKH OLPLWV RI D VHQn WHQFH +LV YLHZ LV D UHILQHPHQW RI WKH ZLGHO\ NQRZQ WKHPHUKHPH

PAGE 101

GLFKRWRP\ RI VHQWHQFH RUJDQL]DWLRQ RULJLQDOO\ SURSRVHG E\ RQH RI WKH IRXQGHUV RI WKH 3UDJXH 6FKRRO RI OLQJXLVWLFV 9LOHP 0DWKHVLXV D KDOI FHQWXU\ DJR )LUEDVn UHILQHPHQW LV WKDW WKHPH LV FRQVWLWXWHG E\ WKH VHQWHQFH HOHPHQW RU HOHPHQWVf FDUU\LQJ WKH ORZHVW GHJUHHVf RI &RPPXQLFDWLYH '\QDPLVP ZLWKLQ WKH VHQWHQFH f +H GHILQHV GHJUHH RI &RPn PXQLFDWLYH '\QDPLVP DV WKH H[WHQW WR ZKLFK WKH VHQWHQFH HOHPHQW FRQn WULEXWHV WR WKH GHYHORSPHQW RI WKH FRPPXQLFDWLRQ WR ZKLFK LW nSXVKHV WKH FRPPXQLFDWLRQ IRUZDUG DV LW ZHUH S f )LUEDV WKXV YLHZV VHQWHQFHV DV RUJDQL]HG QRW LQ D VWULFW GLFKRWRP\ EXW DV KDYLQJ SDUWV ZLWK YDULRXV GHJUHHV RI G\QDPLVP 6LQFH KH GRHV QRW SURYLGH D FOHDU ZD\ WR PHDVXUH WKH G\QDPLVP RI VHQWHQFH HOHPHQWV KRZHYHU KLV FULWHUn LRQ IRU WKHPH LV QRW UHDGLO\ DSSOLFDEOH )LUEDV FRQFHSWLRQ RI WKHPH LV GLIIHUHQW IURP WKLV VWXG\nV RQ VHYn HUDO DFFRXQWV :H YLHZ WKHPH DV WKDW FRQVWLWXHQW DURXQG ZKLFK D EORFN RU SDUDJUDSK RI ODQJXDJH LV RUJDQL]HG ZKHWKHU LW EH RQH RU PRUH VHQn WHQFHV ORQJ 7KLV FRQVWLWXHQW PD\ EH QHZ LQIRUPDWLRQ QRW SUHYLRXVO\ PHQWLRQHGf RU JLYHQ LQIRUPDWLRQ SUHYLRXVO\ PHQWLRQHGf LQ WKH FRQWH[W RI WKH GLVFRXUVH DV D ZKROH )LUEDVn FRQFHSWLRQ UHVWULFWV WKHPH WR D VHQWHQWLDO GRPDLQ DQG WR EHLQJ RQO\ JLYHQ LQIRUPDWLRQ 7KLV FRQFHSWLRQ LV WRR OLPLWHG DQG SX]]OLQJ VLQFH REYLRXVO\ DQ HOHPHQWnV GLVFRXUVH FRQ WH[W PXVW EH FRQVLGHUHG EHIRUH GHWHUPLQLQJ LWV QHZQHVV RU JLYHQQHVV 7KH ZRUN RI -RQHV f RQ WKHPH LQ H[SRVLWRU\ ZULWWHQ (QJOLVK GLVFRXUVH LV VLPLODU WR WKLV VWXG\nV DSSURDFK LQ PDQ\ UHVSHFWV ,QVLVW LQJ WKDW WKHPH VKRXOG QRW EH FKDUDFWHUL]HG LQ FODXVDO RU VHQWHQWLDO

PAGE 102

WHUPV DQG WKDW LW VKRXOG QRW EH WLHG WR ROG JLYHQf LQIRUPDWLRQ RU WR D VSHFLILF V\QWDFWLF SRVLWLRQ VKH GHILQHV WKHPH DV WKH PDLQ LGHD RU FHQWUDO WKUHDG RU QXFOHDU FRQVWLWXHQW DW HDFK OHYHO RI ODQJXDJH RUn JDQL]DWLRQ HVSHFLDOO\ DW WKH SDUDJUDSK OHYHO SS YLYLLf 'HULYLQJ IURP 3LNH DQG 3LNH f KHU YLHZ RI WKHPH LV PRUH LQWXLWLYH WKDQ RXUV $OWKRXJK VKH EHOLHYHV HDFK SDUDJUDSK KDV D WKHPH VKH WDNHV LW IRU JUDQWHG WKDW WKH ZULWWHQ SDUDJUDSKV VKH H[DPLQHV DUH WKHPDWLFDOO\ XQLILHG DQG GRHV QRW VKRZ KRZ DQ DQDSKRUD RU OH[LFDO FKDLQ LGHQWLILHV D SDUDJUDSKnV WKHPH ,Q RXU YLHZ VXFK D FKDLQ LV WKH EHVW HYLGHQFH IRU ZKDW D SDUDJUDSKnV QXFOHDU FRQVWLWXHQW LV -RQHVn SULPDU\ FRQFHUQ LV WKH H[DPLQDWLRQ RI PDQ\ JUDPPDWLFDO GHn YLFHV IRU KLJKOLJKWLQJ WKHPH SS f 6XFK GHYLFHV ZKLFK RIWHQ FRQYH\ WKH WKHPH RI WKH ZULWWHQ H[SRVLWRU\ SDUDJUDSKV VKH FRQVLGHUV LQn FOXGH f 5HSHWLWLRQ RI D ZRUG SKUDVH RU VHQWHQFH f ,QYHUVLRQ RI GHFODUDWLYH ZRUG RUGHU f 6SHFLDO FRQVWUXFWLRQV LQFOXGLQJ SDVVLYH VHQWHQFHV DQG VHQWHQFHV ZLWK DQ LQLWLDO DV IRU SKUDVH f 5KHWRULFDO TXHVWLRQV f 3VHXGRFOHIW VHQWHQFHV DV :KDW LV XQLTXH DERXW PLON LV LWV ULFKQHVV LQ YLWDPLQV DQG PLQHUDOV ZH UHIHU WR VXFK VHQWHQFHV DV :+FOHIWV KHUHLQf f &OHIW VHQWHQFHV DV ,W LV WKH YHU\ PLQJOLQJ RI UDFHV GHGLFDWHG WR FRPPRQ LGHDOV ZKLFK FUHDWHV DQG UHFUHDWHV RXU YLWDOLW\ ZH

PAGE 103

FDOO WKHVH LWFOHIWV KHUHLQf DQG f &RQMXQFWLRQV VL[ GLIIHUHQW W\SHV VXPPDU\ FRQWUDVWLYH HQXPHUDWLYH FRQWLQXDWLRQ FRPSDULVRQ H[DPSOHf 7KHVH GHYLFHV DUH HPSOR\HG E\ DXWKRUV DFFRUGLQJ WR -RQHV WR JLYH VSHFLDO SURPLQHQFH WR DQG QRW QHFHVVDULO\ WR LQWURGXFHf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f ZH ILQG RQO\ WKUHH LWFOHIWV DQG RQO\ IRXU :+FOHIWV $OO VHYHQ LQVWDQFHV LQWURGXFH QHZ LQIRUPDWLRQ EXW QRQH HVWDEOLVKHV DQ DQDSKRUD FKDLQ :H FDQ KDUGO\ JHQHUDOL]H KRZHYHU RQ WKH EDVLV RI VR IHZ LQVWDQFHV -RQHV GRHV QRW PHQWLRQ H[LVWHQWLDO VHQWHQFHV DV RQH GHYLFH SUHn VHQWLQJ WKHPHV DQG VKH RQO\ PDNHV D YHU\ EULHI PHQWLRQ RI OHIW GLVORn FDWLRQ DV D GHYLFH ZKLFK GLUHFWV VSHFLDO DWWHQWLRQ WR DQ HOHPHQW S f (YHQ WKH WKUHH GHYLFHV VKH JLYHV VSHFLDO DWWHQWLRQ WR DUH IRXQG WR EH UDWKHU XQFRPPRQ LQ ZULWWHQ H[SRVLWLRQV ([FHSW IRU FRQn MXQFWLRQV WKH RWKHU GHYLFHV DOO RFFXU UDWKHU LQIUHTXHQWO\ LQ

PAGE 104

WH[WV ,QGHHG WKH GHYLFHV ZRXOG ORVH WKHLU VWURQJ LPSDFW LI WKH\ RFFXUUHG ZLWK JUHDW IUHTXHQF\ ,W LV WKHLU YHU\ RFFDVLRQDO XVDJH WKDW PDNHV WKHP HVSHLFDOO\ IRUFHIXO LQ LQGLFDWLQJ WKHPDWLF SDWWHUQVn S f $OWKRXJK WKH GHYLFHV VKH GLVFXVVHV DUH VLPLODU LQ IXQFWLRQ WR WKH WKHn PDWLF GHYLFHV ZH GHDO ZLWK KHUH WKH GLIIHUHQFHV LQ NLQG DQG LQ IUHn TXHQF\ IRU VXFK GHYLFHV SUREDEO\ LQGLFDWH WKDW VWUDWHJLHV HPSOR\HG LQ RUDO H[SRVLWLRQV GLIIHU IURP WKRVH XVHG LQ ZULWWHQ H[SRVLWLRQV 7KH JUHDW IUHTXHQF\ RI VXFK D WKHPDWLF GHYLFH DV OHIW GLVORFDWLRQ LQn VWDQFHV IRU RXU FRUSXVf LQGLFDWHV D PRUH SURPLQHQW UROH IRU WKHPDWLF GHYLFHV LQ HUD WKDQ LQ ZULWWHQ H[SRVLWLRQV 7KH SUHVHQW VWXG\ GLIIHUV IURP RWKHU WUHDWPHQWV RI WKHPH LQ EHLQJ D GDWDEDVHG VWXG\ RI WKH QDWXUH IXQFWLRQVf DQG GLVWULEXWLRQ RI WKHn PDWLF GHYLFHV LQ RUDO H[SRVLWRU\ (QJOLVK )RU WKH UHPDLQGHU RI WKLV FKDSWHU ZH H[DPLQH WZR VXFK GHYLFHV OHIW GLVORFDWLRQ DQG H[LVWHQWLDOV DQG VKRZ KRZ WKH\ PDUN D SDUDJUDSKnV WKHPH DQG LQGLFDWH WR D KHDUHU ZKDW D SDUDJUDSK ZLOO EH RUJDQL]HG DURXQG ,Q VHYHUDO FDVHV WKH DQDO\VLV LQ WKLV FKDSWHU LV EDVHG RQ D VHOHFn WLRQ RI H[SRVLWLRQV ILYH IURP HDFK LQIRUPDQWf DQG LQ RWKHU FDVHV RQ H[SRVLWLRQV WZR IURP HDFK LQIRUPDQWf /HIW 'LVORFDWLRQ $OWKRXJK WKLV FKDSWHUnV SULPDU\ FRQFHUQ LV VKRZLQJ WKDW OHIW GLVn ORFDWLRQ LV D WKHPDWLF GHYLFH UDWKHU WKDQ GLVSOD\LQJ LWV YDULRXV IRUPV VXFK D GLVSOD\ \LHOGV VWURQJ HYLGHQFH WKDW OHIW GLVORFDWLRQ LV SURSHUO\ XQGHUVWRRG LQ GLVFRXUVH UDWKHU WKDQ LQ VHQWHQWLDO WHUPV

PAGE 105

3XW VLPSO\ OHIW GLVORFDWLRQ LV D FRQVWUXFWLRQ LQ ZKLFK DQ 13 RU QRXQ SKUDVH VLPSOH FRPSOH[ RU FRPSRXQGf DSSHDUV EHIRUH WKH EHJLQn QLQJ RI D VHQWHQFH LH OHIWPRVWf DQG KDV DQ DSSURSULDWH SURZRUG FRS\ LQ WKH VHQWHQFH LWVHOI DV LQ EHORZA f $QG P\ ER\ KH IUR]H VR EDG KH KDG ZKDW WKH\ FDOO EXFN IHYHU 9f f :HOO WKHVH DUELWUDW\ UXOHV WKDW SHRSOH VHW XS IRU WKHPVHOI WKDWnV VRPHWKLQJ HOVH GRQnW OLNH \RX NQRZ f f /LNH ODVW \HDU PH DQG D FRXSOH RU IHZ RI P\ IULHQGV XK ZH ZDWFKHG WKH TXHHQ DQG HYHU\WKLQJ RXW WKHUH ;,f /HIW GLVORFDWLRQ LV QRW D UHSDLU FRQVWUXFWLRQ ZKLFK UHSUHVHQWV D VSHDNHUnV FKDQJH RI PLQG DQG D VHFRQG DWWHPSW DW SKUDVLQJ D WKRXJKW DIWHU EHJLQQLQJ D VHQWHQFH ,W LV YHU\ UDUH WR ILQG DQ\ VRUW RI DXn GLEOH KHVLWDWLRQ RU DQ RYHUO\ ORQJ SDXVH IRU LQVWDQFH EHWZHHQ D GLVn ORFDWHG 13 DQG WKH VHQWHQFH ZKLFK IROORZV EXW D VKRUW GLVFHUQLEOH SDXVH GRHV FKDUDFWHULVWLFDOO\ RFFXU 7KH LQWRQDWLRQ FRQWRXU RQ OHIW GLVORFDWHG 13V QR PDWWHU KRZ ORQJ LV YHU\ FRQVLVWHQWO\ OHYHO ZLWK D VOLJKW IDOO DW WKH HQG IRU RXU GDWD ,Q DQRWKHU VWXG\ RI OHIW GLVORn FDWLRQV .HHQDQ DQG 6FKLHIIHOLQ IRXQG WKDW WKH 13V ZHUH XWWHUHG ZLWK D VOLJKW ULVLQJ LQWRQDWLRQ 7KLV LV WKHQ RIWHQ IROORZHG E\ D SDXVH RU E\ D KHVLWDWLRQ PDUNHU HJ XKKf f 2XU ILQGLQJV GLIIHU IURP WKHLUV RQ ERWK DFFRXQWV 7KH 9DULHW\ RI )RUPV $Q 13 LQ DQ\ V\QWDFWLF SRVLWLRQ PD\ EH GLVORFDWHG ZKHWKHU LW LV LQ WKH PDWUL[ RU PDLQ FODXVH RU LQ DQ HPEHGGHG FODXVH 0RVW RIWHQ

PAGE 106

RI WKH WRWDO OHIW GLVORFDWLRQV LQ WKH GDWD RU SHUFHQWf DV LQ DERYH LW LV WKH PDWUL[ VXEMHFW ZKLFK LV GLVORFDWHG 7KLV LV QRW VXUSULVLQJ +DOOLGD\ LQGLFDWHV WKDW LQ WKH GHFODUDWLYH WKH VXEMHFW LI WKH XQPDUNHG WKHPH f +H GHILQHV WKHPH DV WKDW LQ D VHQWHQFH ZKLFK LV EHLQJ WDONHG DERXW S f 7KHUHIRUH ZH VKRXOG H[SHFW WKHPHV ZKLFK LQIRUPDWLRQ EORFNV DUH DERXW WR PRVW UHSUHn VHQW VXEMHFWV RI VHQWHQFHV %XW WKH 13 PD\ UHSUHVHQW WKH VXEMHFW RI RWKHU FODXVHV VXFK DV DQ LQWURGXFWRU\ DGYHUELDO RQH LQVWDQFHV RU SHUFHQWf DV LQ EHn ORZ RI DQ REMHFW FODXVH LQVWDQFHV SHUFHQW RI WKH WRWDOf DV LQ EHORZ RU RI D UHODWLYH FODXVH LQVWDQFHV SHUFHQW RI WKH WRWDOf DV LQ f &KLOGUHQ LI WKH\ WRRN D FROG ZK\ WKH\nG PDNH nHP VRPH ERQHVHW WHD ,,f f -XVW DQ\WKLQJ HYHQ WKH FRPPHUFLDOV RQ WKH RQ WKH WHOHYLVLRQ ZH WKRXJKW WKH\ ZHUH JUHDW 9,f f $QG WKH QHZHVW KRVSLWDO WKLQN WKH\ ZHUH UXQQLQJ VKRUW RI IXQGV DW RQH WLPH ;,,,f f $QG WKHQ -DNH %XWFKHU \RX NQRZ WKH EDQN WKDW KHnV WKH KHDG RI f ,Q WKLUWHHQ LQVWDQFHV WKH VXEMHFW RI DQ REMHFW FODXVH LV GLVORFDWHG WR WKH IURQW RI WKH FODXVH DQG QRW RI WKH VHQWHQFH DV LQ f $QG UHFNRQ WKH PDQ WKDW PDGH LW KH WKRXJKW KH FRXOGQnW PDNH D OLYLQJ RI LW ,9f /HIW GLVORFDWLRQ WKXV FDQ LQYROYH WKH VXEMHFW RI DQ\ FODXVH LQ D VHQn WHQFH ,W LV MXVW DV ZLGHUDQJLQJ IRU REMHFWV RI YHUEV DOWKRXJK LW

PAGE 107

LV QRW DV IUHTXHQW )RU H[DPSOH LQ VHQWHQFH WKH REMHFW LV GLVn ORFDWHG IURP WKH PDWUL[ FODXVH DQG LQ IURP HPEHGGHG FODXVHV f $QG ZKDWHYHUnV WR GR VKH WDNHV LW 9,f f (YHQ SXEOLF UHFRUGV WKHUHnV QR SODFH WR GLVSOD\ nHP f f $QG P\ PRWKHU PHDQ ,nYH KHDUG KHU WHOO ORWV DERXW 0U /DZVRQ )UDQNOLQ ,,,f ,Q WKH GDWD DUH LQVWDQFHV SHUFHQW RI WKH WRWDOf RI PDWUL[ REn MHFW GLVORFDWLRQV DQG LQVWDQFHV SHUFHQW RI WKH WRWDOf RI HPEHGn GHG REMHFW GLVORFDWLRQV /HIW GLVORFDWLRQV FDQ DOVR LQYROYH WKH REMHFW RI D SUHSRVLWLRQ IURP WKH PDWUL[ FODXVH LQVWDQFH SHUFHQW RI WKH WRWDOf DV LQ EHORZ IURP DQ REMHFW FODXVH LQVWDQFHV SHUFHQWf DV LQ RU DQ LQWURGXFWRU\ DGYHUELDO FODXVH LQVWDQFH SHUFHQWf DV LQ f 0\ ILUVW FDU KDG GRQH PRVW DOO WKH ZRUN RQ IW f f $OO WKDW ZKLWH OLJKWQLQJ DQG HYHU\WKLQJ \RX NQRZ WKH\ JRW LQWR YW VRPHKRZ 9,,f f $QG RXU KXVEDQGV LI LW ZDVQnW IRU WKHP WKHUHnV QR ZD\ 9 f 7KLV YDULRXV GLVSOD\ RI IRUPV LOOXVWUDWHV WKDW OHIW GLVFORFDWLRQ FDQ LQYROYH 13V LQ PDQ\ SRVLWLRQV PRUH DUH JLYHQ EHORZf %XW LW LV QRW PHDQW WR LPSO\ DQ HVVHQWLDO GLIIHUHQFH EHWZHHQ PDWUL[ DQG HPEHGGHG FODXVH 13V ZLWK UHJDUG WR GLVORFDWLRQ ,QGHHG VXFK D GLVWLQFWLRQ LV VRPHWLPHV PLVOHDGLQJ EHFDXVH H[DPSOHV VXFK DV DERYH FDQ EH YLHZHG DV GLVORFDWLRQV IURP HLWKHU WKH PDWUL[ RU WKH LQWURGXFWRU\ DGYHUELDO FODXVH 7KRVH OLNH DERYH KDYH PDWUL[ FODXVHV VXFK DV \RX NQRZ

PAGE 108

, PHDQ JXHVV DQG WKLQN 6XFK FODXVHV DGG OLWWOH RU QR LQn IRUPDWLRQ WR WKH WKHPH RI D SDVVDJH 7KH\ GLIIHU LQVLJQLILFDQWO\ IURP GLVORFDWLRQV IURP PDWUL[ FODXVHV ,I ZH DGG WKHVH WR DOO WKH GLVn ORFDWLRQV RI PDWUL[ VXEMHFWV REMHFWV RI YHUEV DQG RI SUHSRVLWLRQV ZH ILQG WKDW SHUFHQW RI f RI WKH GLVORFDWLRQV DUH RI WKH PDWUL[ NLQG 2XU FRQWHQWLRQ LQ WKLV FKDSWHU LV WKDW OHIW GLVORFDWLRQ LQWURn GXFHV WKHPDWLF HOHPHQWV LQWR WKH VWUHDP RI GLVFRXUVH 6LQFH LW LV TXLWH UHDVRQDEOH WKDW QHZO\LQWURGXFHG SDUWLFLSDQWV DQG WKHPDWLF SLHFHV RI LQIRUPDWLRQ DUH PRVW OLNHO\ IRXQG LQ WKH FHQWUDO SDUW RI D VHQWHQFH LW LV QR VXUSULVH WKDW PDWUL[ FODXVH 13V DUH E\ IDU WKH SUHIHUUHG RQHV IRU OHIW GLVORFDWLRQ +RZHYHU WKH QRQPDWUL[ GLVORFDWLRQV DUH RI WKHn PDWLF HOHPHQWV %XW FOHDUO\ LW LV XVXDO WKDW WKH\ ILUVW DSSHDU LQ D PDn WUL[ FODXVH 7KUHH RWKHU W\SHV RI 13V ZKLFK FDQ EH GLVORFDWHG DQG UHSODFHG E\ DQ DSSURSULDWH SURZRUG DUH ORFDWLYHV LQVWDQFHV SHUFHQW RI WKH WRWDOf DV LQ EHORZ WHPSRUDOV LQVWDQFHV SHUFHQWf DV LQ EHORZ DQG SRVVHVVLYHV LQVWDQFHV SHUFHQWf DV LQ EHORZ f :HOO DW :KLWH 3LQH \RX NQRZ \RXnUH UHDOO\ PRUH RI DQ LQGLYLn GXDO WKHUH 9,f f 1RZ ZKHUH (DUO $WFKOH\ ZDV UDLVHG PHDQ RYHU DW 5DQNLQ VLGH WKHUH ZDV D ELJ FRDO FKXWH RYHU WKHUH WKDW IXUQLVKHG ,,f f %DFN ZKHQ WKDW WKLQJ ZDV DUXQQLQJ ZHOO GLGQnW NQRZ QRWKLQJ DERXW LW WKHQ ;f f 7KLV OLWWOH -DPHV ER\ OLYHG ULJKW GRZQ WKH URDG IURP KHUH MXVW WKH RWKHUH GD\ P\ SDVWRU KDG KLV IXQHUDO 9,f f 6RPH RI WKHVH YHU\ SHRSOH ZKR ZRXOG FULWLFL]H XK WKH UXUDO DUHDV RI (DVW 7HQQHVVHH WKHLU DQFHVWRUV FDPH RXW RI WKHP ;f

PAGE 109

7KH GLVORFDWLRQ RI WZR 13V IURP RQH VHQWHQFH DV LQ DERYH LV TXLWH UDUH WZR LQVWDQFHV LQ WKH GDWDf 6LQFH ZH FRQWHQG LQ WKLV FKDSWHU WKDW OHIW GLVORFDWLRQ LQWURGXFHV QHZ WKHPHV LQWR D GLVFRXUVH DQG WKDW RQO\ RQH WKHPH RFFXUV SHU SDUDJUDSK LW PLJKW EH DVNHG ZKHWKHU WKHVH GRXEOH OHIW GLVORFDWLRQV LQWURGXFH WZR WKHPHV DQG DUH WKXV FRXQWHUH[n DPSOHV WR RXU FRQWHQWLRQ 6XFK VHQWHQFHV DUH FOHDUO\ QRW FRXQWHUH[DPn SOHV KRZHYHU RQFH WKHLU FRQWH[WV DUH H[DPLQHG 7KH FRQWH[W RI VHQn WHQFH VKRZV WKDW UXUDO DUHDV RI 7HQQHVVHH LV QRW D WKHPH QHZO\ LQWURGXFHG E\ WKH GLVORFDWLRQ LQ WKDW VHQWHQFH f 8K HDFK FRPPXQLW\ KDV LWV RZQ EURJXH LWV RZQ ZD\ RI FRPn PXQLFDWLQJ XK WR RQH DQRWKHU DQG XK NQRZ KHDU WKLV FULn WLFLVP DOO WKH WLPH :HOO WKH SHRSOH LQ LQ WKH VPDOO WRZQV DUH DUH LOOLWHUDWH 8K WKH\nUH QRW SROLVKHG 7KH\nUH XQHGXn FDWHG WKH\nUH XQFRXWK XK ZKLFK LV UHDOO\ QRW VR 8K ZH KDYH VRPH YHU\ EULOOLDQW SHRSOH LQ LQ WKH VPDOO UXUDO DUHDV RI 7HQQHVVHH 8K VRPH RI WKHVH YHU\ SHRSOH ZKR ZRXOG FULWLFL]H XK WKH UXUDO DUHDV RI (DVW 7HQQHVVHH WKHLU DQFHVWRUV FDPH RXW RI WKHP DQG LQ PDQ\ ZD\V WKH\nUH FULWLFL]LQJ WKHLU RZQ EDFNn JURXQG WKHLU RZQ IDPLO\ WUHH ;f ,Q WKLV FDVH ZH KDYH WZR SLHFHV RI LQIRUPDWLRQ YHU\ FORVHO\ ERXQG WRJHWKn HU EXW WKLV VHQWHQFH UHSUHVHQWV D VKLIW LQ WKHPH 7KH QHZ WKHPH LV FOHDUO\ VRPH RI WKHVH YHU\ SHRSOH /HIW GLVORFDWLRQ VRPHWLPHV LQYROYHV D FODXVH LQWHUYHQLQJ EHWZHHQ WKH 13 DQG WKH VHQWHQFH LWVHOI ,Q WKHVH LQVWDQFHV WKH VSHDNHU DSSDn UHQWO\ FKRRVHV WR SURYLGH IXUWKHU LQIRUPDWLRQ RU EDFNJURXQG VR WKDW WKH GLVORFDWHG 13 PD\ EH FOHDUO\ XQGHUVWRRG E\ WKH KHDUHU 7KLV DSSRVL WLRQDO NLQG RI LQIRUPDWLRQ PD\ EH D UHVWULFWLYH UHODWLYH FODXVH DV LQ DERYH RU LQ EHORZ RU LW PD\ EH DQ HQWLUH VHQWHQFH RU WZR RI LQn WHUYHQLQJ LQIRUPDWLRQ DV LQ

PAGE 110

f :HOO WKLV KRXVH PRYHG LQ B8nV DQ ROG KRXVH ,9f f @ 3UR 2SWLRQDO +H LQGLFDWHV WKDW VLQFH OHIW GLVORFDWLRQ FDQ DSSO\ WR 13V LQGHWHUPLn QDWHO\ IDU IURP WKH EHJLQQLQJ RI D VHQWHQFH WKH GLVWDQFH WKDW WKH GLVn ORFDWHG 13 KDV WUDYHOHG VXJJHVWV WKDW WKH VWDWHPHQW RI WKH UXOH PXVW PDNH FUXFLDO XVH RI D YDULDEOH S f 7KLV YDULDEOH LV UHSUHn VHQWHG E\ ; LQ KLV UXOH 5RVV DGKHUHV WR WKH YLHZ WKDW OHIW GLVORFDn WLRQ LV D WUDQVIRUPDWLRQ RSHUDWLQJ QRW RQO\ ZLWKLQ WKH VHQWHQFH EXW DOVR ZLWKLQ WKH PDLQ FODXVH /HIW 'LVORFDWLRQ PXVW EH UHVWULFWHG WR PDLQ FODXVHV S f 3RVWDO WDNHV WKH VHQWHQWLDO SRLQW RI YLHZ DV ZHOO f +H FODLPV WKDW OHIW GLVORFDWLRQ LV QRW ERXQG E\ FURVVRYHU FRQVWUDLQWV

PAGE 111

DQG WKDW LW LV GHULYHG IURP UHGXFHG LQWURGXFWRU\ SKUDVHV VXFK DV $V IRU +LV DQDO\VLV RI WKH UHVWULFWLRQV RQ OHIW GLVORFDWLRQ LV LQ ‘ FRUUHFW LQ WKH UHVWULFWLRQ WR RQO\ RQH 13 SHU VHQWHQFH FI DERYHf DQG WR RQO\ PDLQ FODXVHV $Q DFFXUDWH DFFRXQW RI OHIW GLVORFDWLRQ WKXV FRQIRXQGV WKRVH ZLVKn LQJ WR JLYH LW D VHQWHQWLDO DQDO\VLV $Q\ GDWDEDVHG DFFRXQW DQG 5RVV DQG 3RVWDOnV DUH QRWf GLVFRYHUV WKDW ZH PXVW FRQVLGHU OHIW GLVORFDWLRQ LQ LWV GLVFRXUVH FRQWH[W WKDW ZH PXVW WDNH PRUH WKDQ WKH LPPHGLDWH VHQn WHQFH LQWR FRQVLGHUDWLRQ 7KLV LV HVSHFLDOO\ WUXH VLQFH WKH DPRXQW RI DSSRVLWLRQDO LQIRUPDWLRQ D VSHDNHU FKRRVHV WR SURYLGH WKH KHDUHU LV LQn GHWHUPLQDWH ([DPSOH EHORZ VKRZV WKH DSSRVLWLRQ PD\ FRQVLVW RI VHYn HUDO VHQWHQFHV ,Q LW WKHUH UHIHUV WR DW 5DQNLQ VLGH f 1RZ RYHU DW WKH FRDO FKXWHV QRZ ZKHUH (DUO $WFKOH\ ZDV UDLVHG PHDQ RYHU DW 5DQNLQ VLGH WKHUH ZDV D ELJ FRDO FKXWH RYHU WKHUH WKDW IXUQLVKHG WKH FRDO IRU WKH VWHDP HQn JLQHV \RX NQRZ DQG XK ZHOO ZH KDG WKH WZR VWRUHV KHUH EHIRUH WKH ODNH FRPH WKDW IXUQLVKHG SHRSOH PHDQ DOO RI WKH UXUDO DUHD 7KDWnV ZKHUH ZH GHSHQGHG RQ RXU OLYHOLKRRG RQ VXFK WKLQJV DV ZH GLGQnW JURZ RQ WKH IDUP :K\ ZH ZHQW WR WKHUH DQG XK ,OOf ,I WKH GLVORFDWHG 13 UHSUHVHQWV WKH WKHPDWLF SLHFH RI LQIRUPDWLRQ RI D SDUDJUDSK WKHUH VKRXOG EH DQ XSSHU OLPLW RU WKUHVKROG WR WKH DPRXQW RI LQIRUPDWLRQ FRQVWLWXWLQJ WKH DSSRVLWLRQ LQ RUGHU IRU D VSHDNHU WR DVVXPH WKDW WKH WKHPH LV VWLOO LQ WKH KHDUHUnV FRQVFLRXVn QHVVf 7KLV LV D PDWWHU KRZHYHU RI VWXG\LQJ WKH OLPLWV RI VKRUWWHUP PHPRU\ DQG RI WKH FRJQLWLYH EDVLV RI WKHPDWL]DWLRQ DQG SDUDJUDSK VWUXFn WXUH 7KH UHOHYDQW LVVXHV LQYROYHG DUH UHYLHZHG E\ 9DQ 'LMN IIf

PAGE 112

6SHFLILFDWLRQV ,Q WKH DERYH VHFWLRQ LW LV VKRZQ WKDW DQ\ 13 LQ D VHQWHQFH KDV WKH SRWHQWLDO IRU EHLQJ GLVORFDWHG (DUOLHU LW LV QRWHG WKDW WKH 13 GLVORn FDWHG PXVW EH WKH XQLI\LQJ SLHFH RI LQIRUPDWLRQ RU WKHPH RI D EORFN RI GLVFRXUVH WKLV LV DQ LPSRUWDQW SRLQW DQG LV GHPRQVWUDWHG LQ WKH VHFWLRQ 5HODWLRQVKLS WR 6XEVHTXHQW 'LVFRXUVH EHORZf $ WKHPH ZKLFK LQ D ZHOOIRUPHG EORFN RI GLVFRXUVH RU SDUDJUDSK RIWHQ HVWDEOLVKHV DQ DQDSKRUD FKDLQ UHSUHVHQWV VRPHWKLQJ D VSHDNHU ZLVKHV D KHDUHU WR KDYH LQ PLQG VR WKDW D ERG\ RI LQIRUPDWLRQ FDQ WKHQ EH EXLOW DURXQG LW 7KH WKHPH WKXV LV LQIRUPDWLRQ WKH VSHDNHU ZLVKHV WR EH LQ WKH IRUHIURQW RI WKH KHDUHUnV FRQVFLRXVQHVV ,W LV 1(: LQIRUPDWLRQ ZKLFK &KDIH UHJDUGV DV NQRZOHGJH ZKLFK VSHDNHU DVVXPHV WR EH QRW LQ WKH FRQVFLRXVQHVV RI WKH DGGUHVVHH DW WKH WLPH RI WKH XWWHUDQFH f $OO WKHPDWLF GHYLFHV VXFK DV OHIW GLVORFDWLRQ H[LVWHQWLDOL]DWLRQ DQG FOHIWLQJ FRQVWUXFWLRQV XVXDOO\ LQWURGXFH QHZ LQIRUPDWLRQ LQWR D VWUHDP RI GLVFRXUVH %XW DOO VXFK GHYLFHV GR QRW LQWURGXFH H[DFWO\ WKH VDPH NLQG RI LQIRUPDWLRQ 0RUHRYHU WKH\ DUH QRW LQWHUFKDQJHDEOH $V D UXOH H[LVWHQWLDOV GR QRW LQWURGXFH GHILQLWH 13V 7KH H[FHSn WLRQV WR WKLV DUH WUHDWHG LQ 5HHG f 5HHG FODLPV WKH FULWHULRQ IRU D QRXQ EHLQJ H[LVWHQWLDOL]HG LV ZKHWKHU LW KDV D SUHVXSSRVLWLRQ RI LGHQWLILDEOH UHIHUHQFH ,Q &KDIHDQ WHUPV WKLV PHDQV NQRZDEOH WR WKH KHDUHU :LWKRXW H[FHSWLRQ OHIW GLVORFDWLRQV GR QRW LQWURGXFH QRQVSHFLIn LF LQGHILQLWH SLHFHV RI LQIRUPDWLRQ LQWR GLVFRXUVH .QRZLQJ WKLV ZH QRW RQO\ FDQ UHODWH WKHVH WZR WKHPDWLF GHYLFHV WR YDULRXV FRPPHQWV LQ WKH OLWHUDWXUH EXW ZH DOVR FDQ SRLQW RXW WKH LPSRUWDQW GLIIHUHQFHV DQG RYHUODSSLQJV EHWZHHQ WKHP

PAGE 113

1HZ LQIRUPDWLRQ PD\ EH HLWKHU GHILQLWH RU LQGHILQLWH LI LQGHILn QLWH LW PD\ EH VSHFLILF QRQVSHFLILF RU JHQHULF VHH 6WRFNZHOO HW DO IRU GLVFXVVLRQ RI WKHVHf ,Q WKH YLHZ RI /L DQG 7KRPSn VRQ f D OHIW GLVORFDWHG 13 UHSUHVHQWV WKH WRSLF RI D VHQWHQFH WKH SDUW RI D VHQWHQFH UHJDUGLQJ ZKLFK WKH UHVW RI WKH VHQWHQFH PDNHV D FRPPHQW $OWKRXJK WKH\ DYRLG FRQVLGHULQJ WRSLFV LQ WKHLU GLVn FRXUVH FRQWH[WV WKH\ PDLQWDLQ WKDW DFURVV ODQJXDJHV WRSLFV DUH DOZD\V HLWKHU GHILQLWH RU VSHFLILF 13V 7KH\ VWDWH WKDW RQH RI WKH SULPDU\ FKDUDFWHULVWLFV RI WRSLFV WKHQ LV WKDW WKH\ PXVW EH GHILQLWH f *LYRQ DJUHHV ZLWK WKLV FKDUDFWHUL]DWLRQ RI WRSLFV DQG SRLQWV RXW WKDW WKH\ DOVR FDQQRW EH UHIHUHQWLDOLQGHILQLWH f +HUH ZH YLHZ OHIW GLVORFDWHG 13V DV GLVFRXUVH WKHPHV UDWKHU WKDQ VHQn WHQFH WRSLFV %XW WKH OHIW GLVORFDWLRQV IURP WKH :KLWH 3LQH GDWD DJUHH FORVHO\ ZLWK WKHLU FKDUDFWHUL]DWLRQ RI WRSLFV 7KH RYHUZKHOPLQJ PDMRULW\ RI WKH LQVWDQFHV RI OHIW GLVORFDn WLRQ LQ RXU FRUSXV DUH RI GHILQLWH 13V 7KH WKHPHV ZKLFK DUH OHIW GLVn ORFDWHG DUH VR RIWHQ >GHILQLWH@ WKDW LW FDQ EH VDLG ZLWKRXW UHVHUYDn WLRQ WKDW OHIW GLVORFDWHG 13V DUH QRUPDOO\ GHILQLWH ,Q D UHODWLYHO\ VPDOO PLQRULW\ RI FDVHV WKH\ DUH JHQHULF DV LQ VHQWHQFHV DQG EHORZ f
PAGE 114

f 2QH RI WKH ELDTHU %ODFNV KHnV DERXW WZHQW\ IRXU \HDUV ROG f f 3HRSOH P\ DJH WKDW ZHQW 1RUWK DQG ZRUNHG VRPH RI nHP KDYH FRPH EDFN >WR@ WKH WHUULWRU\ ,9f§f %XW QRW LQ RQH LQVWDQFH LV WKH OHIW GLVORFDWHG 13 D QRQVSHFLILF LQGHIn LQLWH ,Q KHU VWXG\ 3ULQFH Ef DJUHHV WKDW QRQVSHFLILF LQGHILn QLWHV FDQQRW EH GLVORFDWHG ,Q JHQHUDO KHU FRQWHQWLRQ WKDW VSHFLILF LQGHILQLWH 13V ZKLFK DUH GLVORFDWHG UHSUHVHQW VXEMHFWV LV FRQVLVWHQW ZLWK WKH GDWD IURP RXU FRUSXV 2I WKH VHYHUDO GR]HQ GLVORFDWHG VSHFLIn LF 13V RQO\ WKUHH DUH QRW VXEMHFWV WZR RI ZKLFK DUH DQG EHORZ f &HUWDLQ SHRSOH ZKR KDYH PRQH\ LQ WKLV WRZQ SHRSOH ORRN XS WR nHP f f :HOO HDFK HDFK VHFWLRQ WKLQN WKH\ FDOO LW D SRG 9,f 6XFK H[DPSOHV DUH HTXLYDOHQW WR SDVVLYH VHQWHQFHV ZLWK VSHFLILF LQGHILn QLWHV GLVORFDWHG IURP WKH VXEMHFW SRVLWLRQ $QRWKHU FRQWHQWLRQ RI 3ULQFH KRZHYHU LV GLVDIILUPHG E\ WKH GDWD IURP :KLWH 3LQH 6KH FODLPV WKDW OHIW GLVORFDWHG VXEMHFWV DUH XVXDOO\ QHZ LQIRUPDWLRQ ZKLOH OHIW GLVORFDWHG QRQVXEMHFWV UHLQWURGXFH ROG LQn IRUPDWLRQ ,W LV VKRZQ EHORZ WKDW QHDUO\ DOO OHIW GLVORFDWLRQV UHSUHn VHQW QHZ LQIRUPDWLRQ UHJDUGOHVV RI ZKLFK V\QWDFWLF SRVLWLRQ LQ WKH VHQn WHQFH WKH\ DUH UHODWHG WR )XUWKHU HYLGHQFH IRU DOO OHIW GLVORFDWHG 13V QRW EHLQJ QRQVSHFLILF LQGHILQLWHV LV DYDLODEOH 7KHUH ZDV QRW D VLQJOH LQVWDQFH RI DQ LQGHILn QLWH SURQRXQ VHUYLQJ DV WKH FRS\ RI WKH GLVORFDWHG 13 2XU GDWD OHDYH QR GRXEW WKDW OHIW GLVORFDWLRQ LV D WKHPDWLF GHYLFH FRQVWUDLQHG QRW WR

PAGE 115

RSHUDWH RQ FHUWDLQ 13V WKRVH LQGHILQLWHV ZKLFK PD\ EH FKDUDFWHUL]HG DV >VSHFLILF@ HYHQ WKRXJK RQH PDMRU VWXG\ *XQGHO f DUJXHV RWKHUn ZLVH LQ IDFW *XQGHO DUJXHV IRU WKH DFFHSWDELOLW\ RI VHQWHQFHV ZLWK QRQVSHFLILF LQGHILQLWHV DV DQG f $ PLVSULQW WKH SURRIUHDGHU GLGQnW VHH RQH f $ SKRQH FDOO KH GLGQnW FKDUJH PH IRU RQH EXW WKHVH MXGJPHQWV DUH HQWLUHO\ KHU RZQ +HU DQDO\VLV RI WKH FRQn VWUDLQWV RQ OHIW GLVORFDWLRQ EDVHG ZKROO\ RQ GDWD QRW WDNHQ IURP DFWXDO VSHHFK FRQWHQGV HUURQHRXVO\ WKDW QRXQ SKUDVHV ZKLFK FRQWDLQ TXDQWL ILHUOLNH GHWHUPLQHUV ZLWK WKH H[FHSWLRQ RI 21/< DQG (9(1f FDQQRW EH GLVORFDWHG 33 f 0DQ\ RI WKH LQVWDQFHV IURP RXU FRUSXV LQFOXGLQJ DQG EHORZ VKRZ WKLV FDQQRW EH WUXH f 0RVW RI P\ IULHQGV WKH SHRSOH ZLWK ZKRP ZDV UDLVHG ZH DOO ZHQW WR FKXUFK ,9,f f :HOO HDFK HDFK VHFWLRQ WKLQN WKH\ FDOO YW D SRG 9,f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

PAGE 116

WKHUHIRUH OHIW GLVORFDWLRQ LV RQH W\SH RI D PRUH JHQHUDO FRQVWUXFWLRQ 2XU FRUSXV KDV LQVWDQFHV RI FRQVWUXFWLRQV ZLWKRXW WKH FRS\ DQG WKHVH DUH RI WZR GLIIHUHQW VRUWV 2QH VXFK FRQVWUXFWLRQ LQYROYHV WKH UHSHWLWLRQ RU HPEHOOLVKHG UHSHWLWLRQ RI WKH IURQWHG 13 DV LQ DQG EHORZ f :HOO WKLV WRZQ ORYH WKLV OLWWOH ROG WRZQ f f $QG WKHQ 7DWH 6SULQJV NQRZ \RXnYH KHDUG RI 7DWH 6SULQJV ,9f 7KHVH VHQWHQFHV VKRZ WKDW D VSHDNHU PD\ FKRRVH WR UHSHDW D IURQWHG 13 UDWKHU WKDQ XVH D FRS\ ([DPSOH DQG VKRZ D VHFRQG FRQVWUXFWLRQ D VSHDNHU PD\ HPSOR\ +HUH D WKHPH LV DQQRXQFHG DQG LWV VHFRQG UHIn HUHQFH LV D SDUDSKUDVH RI WKH ILUVW f $QG RXU XK VXSHUPDUNHWV ZH KDYH WZR RU WKUHH QLFH JURFHU\ VWRUHV QRZ ,,f f 8K KRXVLQJ VHHPV OLNH HYHU\ERG\ KDV D QHZ KRXVH \RX NQRZ 9f 6XFK SDWWHUQV GR QRW UHODWH WKH IURQWHG 13 WR WKH UHVW RI WKH VHQWHQFH V\QWDFWLFDOO\ LQ WKH VDPH ZD\ DV OHIW GLVORFDWLRQ GRHV %XW WKH\ UHn VHPEOH OHIW GLVORFDWLRQ LQ LQWURGXFLQJ D QHZ SLHFH RI LQIRUPDWLRQ D SRWHQWLDO WKHPH LQWR GLVFRXUVH $OVR WKH LQWRQDWLRQ RI VXFK SDWWHUQV LV LGHQWLFDO WR WKDW RI OHIW GLVORFDWLRQV $V PHQWLRQHG HDUOLHU OHIW GLVORFDWLRQV DUH REYLRXVO\ QRW UHSDLUHG VHQWHQFHV UHSUHVHQWLQJ D VSHDNHUnV VHFRQG DWWHPSW DW SKUDVLQJ 1RU DUH WKH SDUDSKUDVLQJ SDWWHUQV RI HPEHOOLVKLQJ RU QDUURZLQJ GRZQ DQ 13 VXFK UHSDLUV ,Q DOO H[DPSOHV ZLWK IURQWHG 13V ZH ILQG D FKDUDFWHULVWLF

PAGE 117

MXQFWXUH EHWZHHQ WKH 13 DQG ZKDW FRPHV DIWHU EXW UDUHO\ LV WKHUH DQ\ VRUW RI KHVLWDWLRQ SKHQRPHQD nWLK RU D ORQJ SDXVH IRU LQVWDQFHf ZKLFK ZRXOG LQGLFDWH WKDW D VSHDNHU PLJKW EH FKDQJLQJ FRXUVH DIWHU EHJLQQLQJ ZLWK DQ 13 2WKHU WKDQ DSSRVLWLRQDO LQIRUPDWLRQ LW LV DOVR UDUH IRU DQ\WKLQJ WR LQWHUYHQH EHWZHHQ WKH 13 DQG WKH VHQWHQFH LQ ZKLFK LW LV WKHPDWLF )XQFWLRQV 7R XQGHUVWDQG WKH IXQFWLRQLQJ RI OHIW GLVORFDWLRQ LQ RUDO H[SRVLn WLRQV ZH PXVW GHWHUPLQH f WKH UHODWLRQVKLS RI OHIW GLVORFDWHG 13V WR SUHFHGLQJ SRUWLRQV RI GLVFRXUVH f WKH UHODWLRQVKLS RI OHIW GLVORFDWHG 13V WR VXEVHTXHQW SRUWLRQV RI GLVFRXUVH DQG f WKH GLVWULEXWLRQ RI OHIW GLVORFDWHG 13V RYHU HQWLUH H[SRVLWLRQV $V LV UHPDUNHG DERYH S f OHIW GLVORFDWLRQ XVXDOO\ LQYROYHV SLHFHV RI LQIRUPDWLRQ ZKLFK DUH 1(: LH NQRZDEOH WR RU UHFRJQL]DEOH E\ WKH KHDUHU IURP RXWVLGH WKH LPPHGLDWH YHUEDO FRQWH[W 2I WKH LQVWDQFHV RI OHIW GLVORFDWLRQ LGHQWLILHG LQ WKH :KLWH 3LQH FRUSXV LQYROYH VXFK 1(: LQIRUPDWLRQ SHUFHQW RI WKH WRWDO WKDW LVf 7KLUW\ILYH LQVWDQFHV SHUFHQW RI WKH WRWDOf LQYROYH *,9(1 LQIRUPDn WLRQ ZKLFK WKH VSHDNHU ZRXOG SUREDEO\ SUHVXPH WR EH LQ WKH FRQVFLRXVn QHVV RI WKH KHDUHU EHFDXVH LW KDG EHHQ PHQWLRQHG LQ D FORVHO\ SUHFHGLQJ FRQWH[Wf 7KHVH VHHP WR LQYROYH WKH VSHDNHUnV JLYLQJ D VSHFLDO HPSKDn VLV WR WKH OHIW GLVORFDWHG SLHFH RI LQIRUPDWLRQ )RXU W\SHV RI GLVORFDWHG 1(: LQIRUPDWLRQ VXJJHVW WKHPVHOYHV 7KHVH W\SHV DUH QRW PXWXDOO\ H[FOXVLYH )RU H[DPSOH D OHIW GLVORFDWHG

PAGE 118

QR 13 PD\ EH ERWK FRQWUDVWLYH DQG UHLQWURGXFHG f 7KH PDMRULW\ RI OHIW GLVORFDWHG 13V UHSUHVHQW QHZ SDUWLFLn SDQWV RU RWKHU SLHFHV RI LQIRUPDWLRQ ZKLFK D VSHDNHU KDG QRW SUHn YLRXVO\ PHQWLRQHG 2I WKH WRWDO RI LQVWDQFHV SHUFHQWf DUH SULPDULO\ RI WKLV W\SH ,Q LQWURGXFLQJ QHZ SDUWLFLSDQWV RU FKDUn DFWHUV RU LQ LQGLFDWLQJ WKH SULQFLSDO REMHFW RU ORFDWLRQ RI GLVFXVn VLRQ IRU WKH HQVXLQJ VHQWHQFH DQG IXUWKHU GLVFRXUVH XVXDOO\f OHIW GLVORFDWLRQ LV WKXV D VWDJHVHWWLQJ GHYLFH :H VHH WKUHH H[DPSOHV RI WKLV LQ WKH IROORZLQJ GLVFXVVLRQ RI KLV LPPHGLDWH IDPLO\ E\ D VL[W\ WZR\HDUROG PDQ f 0RWKHU VKHnV EHHQ GHDG ILIW\ WZR \HDU KPPf DQG 'DG KHnV EHHQ GHDG DERXW XK IRXUWHHQ \HDU KPPf 6R WKHUHIRUH XK KDG D VLVWHU VKHnV EHHQ GHDG RK ,nG VD\ WZHQW\ ILYH \HDU DQG KDG D KDOIEURWKHU GLHG QLQH PRQWKV ROG +H ZDV D WZLQ DQG WKH RWKHU RQH LUH GLHG RI PHQLQJLWLV +H FKRNHG WR GHDWK 7KDWnV WKDWnV EHHQ XK WKLUW\ WKLUW\ \HDUV JXHVV RU PD\EH D OLWWOH ORQJHU WKDQ WKDW MXVW QRW NQRZLQJ WKH WLPH ,9f ,QWURGXFLQJ QHZ LQIRUPDWLRQ IRU WKH ILUVW WLPH LV WKXV WKH SULPDU\ IXQFn WLRQ RI OHIW GLVORFDWLRQ 7KLV LV WUXH ZKHWKHU WKH OHIW GLVORFDWHG 13 UHSUHVHQWV D VXEMHFW RU DQ REMHFW ZKHWKHU LW UHSHUVHQWV DQ HOHPHQW LQ WKH PDWUL[ RU DQ HPEHGGHG FODXVH 3ULQFH f FODLPV WKDW OHIW GLVn ORFDWHG VXEMHFWV WHQG WR UHSUHVHQW QHZ LQIRUPDWLRQ ZKLOH OHIW GLVORFDn WHG QRQVXEMHFWV LQ JHQHUDO UHSUHVHQW ROG LQIRUPDWLRQ 7KHUH LV QR VXSSRUW IRU WKHVH FRQWHQWLRQV LQ WKLV FRUSXVn GDWD 1HDUO\ SHUFHQW RI OHIW GLVORFDWLRQV VHUYH WR LQWURGXFH QHZ LQIRUPDWLRQ UHJDUGOHVV RI ZKHWKHU WKH\ DUH VXEMHFWV RU QRW f $QRWKHU W\SH RI OHIW GLVORFDWLRQ UHSUHVHQWV D VSHFLDO NLQG RI

PAGE 119

,OO QHZ LQIRUPDWLRQ 7KH OHIW GLVORFDWHG HOHPHQW ZLOO QDPH D JHQHUDO FODVV RI LWHPV DQG WKH IROORZLQJ VHQWHQFHV ZLOO VSHFLI\ ZKLFK DQGRU KRZ PDQ\ PHPEHUV RI WKH FODVV DUH LQYROYHG ,Q RWKHU ZRUGV VRPH OHIW GLVn ORFDWLRQV LQYROYH WKH IRFXVLQJ RQ RU QDUURZLQJ GRZQ WR D SRUWLRQ RI WKH QHZ LQIRUPDWLRQ ZKLFK LV LQWURGXFHG 7KHUH DUH LQVWDQFHV SHUn FHQW RI WKH WRWDOf RI WKLV W\SH LQ WKH FRUSXV 7ZR VKRUW H[DPSOHV RI WKLV DUH JLYHQ EHORZ f 3HRSOH P\ DJH WKDW ZHQW 1RUWK DQG ZRUNHG VRPH RI nHP KDYH FRPH EDFN >WR@ WKH WHUULWRU\ ,9f f 7KHVH VWXGHQWV NQRZ VHYHUDO RI nHP EHFDXVH ,fYH KHOSHG WKH WHDFKHU DYHUDJH WKHLU JUDGHV 9,,,f :H QRWH WKH VLPLODULW\ EHWZHHQ VXFK FRQVWUXFWLRQV DQG WKRVH OLNH VHQn WHQFHV DQG DERYH f 2Q RFFDVLRQ D VSHDNHU ZLVKHV WR LQWURGXFH D SLHFH RI LQIRUPDn WLRQ WR D KHDUHU DEUXSWO\ LQ RUGHU WR FRQWUDVW LW ZLWK D IRUHJRQH SLHFH ,Q VXFK LQVWDQFHV WKH QHZ LQIRUPDWLRQ LV RIWHQ SUHFHGHG E\ EXW RU KRZn HYHU DQG IUHTXHQWO\ LW LV OHIW GLVORFDWHG ,Q RXU FRUSXV DUH WHQ LQn VWDQFHV SHUFHQW RI WKH WRWDOf ZKLFK DUH SULPDULO\ FRQWUDVWLYH DQG VHYHUDO GR]HQ PRUH ZKRVH FRQVWUDVWLYHQHVV LV HYLGHQW EXW DSSDUHQWO\ VHFn RQGDU\ $OWKRXJK XVXDOO\ SUHFHGHG E\ RQH RI WKH FRQMXQFWLRQV PHQWLRQHG DERYH WKHLU SULPDU\ FKDUDFWHULVWLF LV WKH KHLJKWHQHG VWUHVV RQ WKH OHIW GLVORFDWHG HOHPHQW ZKLFK WKH\ KDYH ,Q WKH IROORZLQJ H[DPSOHV ZH KDYH FRQWUDVWLYH VWUHVV RQ \RXQJHU DQG RQ ROG f DQG WKLQN WKH ROGHU SHRSOH WKLQN WKHUHfV QR XVH LQ DOO WKLV FKDQJH \RX NQRZ :K\ ZHnYH JRQH OLNH WKLV IRU \HDUV :K\ QRW FRQWLQXH" XKKXKf %XW WKLQN WKH XK \RXQJHU \RXQJHU SHRSOH LQ WRZQ XK WKLQN WKH\ ZDQW FKDQJH , WKLQN WKH\ ZDQW LW WR JURZ DQG GHYHORS \RX NQRZ 9, f

PAGE 120

f RI FRXUVH DV VD\ WKH \RXQJ RQHV GRQnW NQRZ %XW WKHP ROG RQHV LI WKH\ OLNHG \RX WKH\nG EHQG RYHU EDFNn ZDUGV IRU \RX 7KH\nG GR DQ\WKLQJ LQ WKH ZRUOG WKDW IRU \RX LI WKH\ OLNHG \RX ;f 6XFK OHIW GLVORFDWLRQV VHUYH QRW RQO\ WR LQGLFDWH D FRQWUDVW ZLWK D SUHn FHGLQJ SLHFH RI LQIRUPDWLRQ 7KH\ DOVR VHUYH WR LQWURGXFH WKHPDWLF HOHn PHQWV IRU WKH VXFFHHGLQJ VHQWHQFHVf OLNH RWKHU W\SHV RI OHIW GLVORFD WL RQ f 2IWHQ D VSHDNHU LQ WKH FRXUVH RI DQ H[SRVLWLRQ ZLVKHV WR UHLQn WURGXFH D SLHFH RI LQIRUPDWLRQ EDFN LQWR WKH VWUHDP RI GLVFRXUVH DIWHU LW KDV IDOOHQ LQWR WKH EDFNJURXQG RI WKH KHDUHUnV FRQVFLRXVQHVV 7KH LQIRUPDWLRQ PD\ KDYH EHHQ PHQWLRQHG LQ DQ HDUOLHU WXUQ LQ WKH FRQYHUVDn WLRQ RU HDUOLHU LQ WKH VDPH WXUQ %XW ZKHQ D VSHDNHU ZLVKHV WR UHLQn WURGXFH LW LW LV RIWHQ IRXQG LQ D OHIW GLVORFDWLRQ VWUXFWXUH $SSDn UHQWO\ WKH FRQVWUDLQW RQ WKLV W\SH RI OHIW GLVORFDWLRQ LV WKDW DW OHDVW RQH WKHPDWLF SLHFH RI LQIRUPDWLRQ KDV LQWHUYHQHG VLQFH WKH ODVW PHQWLRQ RI WKH UHLQWURGXFHG RQH 7KLV LQWHUYHQLQJ PDWHULDO PD\ EH IURP RQH VHQWHQFH WR PDQ\ GR]HQV RI VHQWHQFHV ORQJ ,Q RXU FRUSXV RI WKH LQVWDQFHV SHUFHQW RI WKH WRWDOf DUH SULPDULO\ RI WKLV W\SH ,Q WKH IROORZLQJ H[FHUSW VXOIXU LV UHLQWURGXFHG DV D WKHPDWLF SLHFH RI LQIRUPDWLRQ f P\ DXQW XVHG WR EX\ FDODPD
PAGE 121

ZRXOG PL[ D KDOI D WHDVSRRQ RI VXOIXU DQG XK VRPHWKLQJ OLNH D WDEOHVSRRQ RI PRODVVHV PL[ WKDW VXOIXU LQ WKDW 6KH VDLG WKHUHnV QRWKLQJ DV JRRG DQG VKH ZDV WKH VKH ZDV WKH GRFWRU RI RXU IDPLO\ UHFNRQ IRU VKH ZDV DOZD\V SUHVFULELQJ VRPHn WKLQJ \RX NQRZ ,I ZHnG JHW DQ\WKLQJ ZKDW WR GR XKKXKf $QG XK EXW QRZ WKDW VXOIXU PHDQ VKH VDLG WKDW SXULILHG WKH EORRG DQG VR WKDW GLGQnW VWLOO GRQnW XQGHUVWDQG WKDW %XW WRRN D ORW RI LW ,nOO WHOO \RX ,W GLGQnW KXUW PH ,I LW GLGQnW KHOS LW GLGQnW KXUW ,,f nn6XOIXU VXERUGLQDWHV DQG UHSODFHV P\ DXQW DV WKH WKHPDWLF SLHFH RI LQIRUPDWLRQ WRZDUGV WKH HQG RI WKLV SDVVDJH $V PHQWLRQHG DERYH WKLUW\ILYH RI WKH OHIW GLVORFDWLRQV UHSUHn VHQW JLYHQ SLHFHV RI LQIRUPDWLRQ :KHQ WKHVH WKLU\ILYH SLHFHV RI LQn IRUPDWLRQ DUH GLVORFDWHG WKH\ DUH QHLWKHU PHQWLRQHG LQ WKH GLVFRXUVH IRU WKH ILUVW WLPH QRU UHLQWURGXFHG DIWHU WKH LQWHUYHQWLRQ RI D GLIIHUn HQW WKHPDWLF SLHFH 7KH\ DUH QRW PHQWLRQHG WR EULQJ VRPHWKLQJ LQWR WKH IRUHIURQW RI D KHDUHUnV FRQVFLRXVQHVV WKH\ DUH PHQWLRQHG WR NHHS WKDW SLHFH RI LQIRUPDWLRQ LQ WKH IRUHIURQW ,Q RWKHU ZRUGV WKHVH GLVORFDn WLRQV UHSUHVHQW HVSHFLDOO\ HPSKDVL]HG SLHFHV ,Q WKH IROORZLQJ H[FHUSW 0UV 6HDEURRN LV OHIW GLVORFDWHG WKH VHFRQG WLPH PHQWLRQHG REYLRXVO\ IRU HPSKDVLVf UDWKHU WKDQ ZKHQ VKH LV LQWURGXFHG f WKH\ KDG WKHLU RZQ %ODFN FKLOGUHQ ZHQW WR WKLV VFKRRO XK KXKf DQG WKHLU %ODFN WHDFKHU $QG XK ,nOO WHOO \RX D WHDFKHU WKDW XVHG WR WHDFK RYHU WKHUH ZDV 0UV 6HDEURRN 6KH GLHG WZR \HDUV DJR XS KHUH LQ WKLV VFKRRO 2K 0UV 6HDEURRN ZH DOO OLNHG KHU YHU\ PXFK 6KH ZDV WKDW ZDV WKDW ZDV D VLWn XDWLRQ WKDW WKRXJKW WKDW ZRUNHG MXVW ILQH ZKHQ LW FDPH WR LQWHJUDWLRQ DQG DOO OLNH WKDW f 0UV 6HDEURRN LV GHILQLWHO\ QRW QHZ LQIRUPDWLRQ ZKHQ LW LV GLVORFDWHG *LYHQ 13V ZKHQ GLVORFDWHG DUH RIWHQ DFFRPSDQLHG E\ LQWHUMHFWLRQV VXFK DV RK ZK\ ER\ DQG RWKHUV

PAGE 122

%HIRUH H[DPLQLQJ KRZ OHIW GLVORFDWHG 13V DUH UHODWHG WR VXEVHn TXHQW SRUWLRQV RI GLVFRXUVH ZH H[DPLQH KHUH PRUH FORVHO\ ZKLFK W\SHV RI 13V DUH GLVORFDWHG DQG WKHLU GLVWULEXWLRQ LV DOVR H[DPLQHG KHUH ,I OHIW GLVORFDWLRQ XVXDOO\ LQWURGXFHV QHZ LQIRUPDWLRQ DQG LV D VWDJHVHWWLQJ GHYLFH IRU WKH HQVXLQJ GLVFRXUVH ZH ZRXOG H[SHFW QXPHU RXU GLVORFDWHG 13V WR FRPH DW WKH YHU\ EHJLQQLQJ RI DQ LQIRUPDQWnV UHVSRQVH WR D TXHVWLRQ ZKHUH WKH VSHDNHU LV SUREDEO\ PRVW OLNHO\ WR PDNH LQWURGXFWLRQV 2I WKH LQVWDQFHV RI OHIW GLVORFDWLRQ LQ RXU FRUSXV SHUFHQWf DUH RI WKLV NLQG ,Q WKH H[DPSOH EHORZ DW :KLWH 3LQH LV GLVORFDWHG LQ RUGHU WR VHW D VWDJH RU IUDPH RI UHIHUn HQFH IRU ZKDW FRPHV DIWHU f )LHOGZRUNHU +RZ GR WKH WZR VFKRROV FRPSDUH" ,QIRUPDQW :HOO DW :KLWH 3LQH \RX NQRZ \RXnUH UHDOO\ PRUH RI DQ LQGLYLGXDO WKHUH :KHQ ZH PRYHG RXW WR RXU QHZ KLJK VFKRRO \RX ZHUH MXVW OLNH D SHUVRQ LQ D FURZG EXW DV \RX JHW ROGHU DQG VWXII OLNH WKDW 9,f ,Q JHQHUDO OHIW GLVORFDWLRQ GRHV WHQG WR LQYROYH 13V FRPLQJ HDUO\ LQ H[SRVLWLRQV UDWKHU WKDQ ODWH EXW LW LV QRW D YHU\ VWURQJ IXQFWLRQ RI GLVFRXUVHLQLWLDO SRVLWLRQ ,I OHIW GLVORFDWLRQ LV SULPDULO\ D FKDUDFWHULQWURGXFLQJ GHYLFH ZH ZRXOG H[SHFW D ODUJH PDMRULW\ RI GLVORFDWHG 13V WR EH DQLPDWH RQHV %HFDXVH OHIW GLVORFDWLRQ FDQ LQYROYH ORFDWLYH DQG WHPSRUDO SLHFHV RI LQIRUPDWLRQ LW LV FOHDUO\ QRW UHVWULFWHG WR RQO\ DQLPDWH 13V $ERXW WZRWKLUGV RI WKH RU SHUFHQW RI WKH WRWDOf RI WKH GLVn ORFDWLRQV DUH DQLPDWH D VWURQJ LI QRW RYHUZKHOPLQJ PDMRULW\ 2QH WKLUG WKHQ LQWURGXFH LQDQLPDWH 13V QHZO\ LQWR GLVFRXUVH ,I OHIW GLVORFDWLRQ ZHUH D GHYLFH IRU LQWURGXFLQJ DFWLYH SDUWLFLn SDQWV UDWKHU WKDQ DQ\ WKHPDWLF FKDUDFWHU ZH ZRXOG H[SHFW PRVW

PAGE 123

GLVORFDWHG DQLPDWH 13V WR UHSUHVHQW DJHQWV 2Q WKH EDVLV RI WKH GDWD KRZHYHU ZH ILQG WKDW OHIW GLVORFDWHG DQLPDWH QRXQV DUH OLNHO\ WR EH DJHQWV RQO\ DERXW KDOI WKH WLPH RI WKH DQLPDWH 13V RU SHUFHQWf 7KH ODUJH QXPEHU RI GLVORFDWHG 13V ZKLFK DUH LQDQLPDWHV RU QRQn DJHQWV LQ H[SRVLWLRQ VKRXOG QRW EH VXUSULVLQJ /RQJDFUH FODLPV WKDW LQ LWV GHHS VWUXFWXUH H[SRVLWRU\ GLVFRXUVH LV VXEMHFW PDWWHURULHQWHG DQG QRW DJHQW SDWLHQW RU DGGUHVVHHRULHQWHG f ,Q D FRUn SXV RI QDUUDWLYHV RQ WKH RWKHU KDQG ZH ZRXOG SUREDEO\ ILQG D PXFK KLJKHU SHUFHQWDJH RI DJHQWV DPRQJ GLVORFDWHG 13V /RQJDFUH DOVR FODLPV WKDW WKH VXEMHFW PDWWHU RULHQWDWLRQ RI H[SRVLWLRQ LV JHQHUDOO\ UHDOL]HG E\ HTXDWLYH DQG GHVFULSWLYH FODXVHV S f ,I ZH H[DPLQH WKH LQVWDQFHV RI GLVORFDWHG DQLPDWH QRXQV ZH ILQG WKDW RI WKHP RI WKH DQLPDWH RQHV WKDW LVf DUH IURP VXFK FODXVHV 3UREDEO\ WKH ODUJH QXPEHU RI GLVORFDWHG 13V ZKLFK DUH DQLPDWHV DQG DJHQWV LQ RXU H[SRVLWLRQV VKRXOG QRW EH VXUSULVLQJ HLWKHU ,W LV PXFK WRR VLPSOLVWLF WR DVVXPH WKDW DQ\ JLYHQ JHQUH RI GLVFRXUVH FRQn VLVWV SULPDULO\ RI MXVW RQH RU WZR W\SHV RI FODXVH $OVR ZH PXVW UHPHPEHU WKDW GLVFRXUVHV DUH IUHTXHQWO\ HPEHGGHG LQWR RQH DQRWKHU ,Q RXU FRUSXVn H[SRVLWLRQV ZH IUHTXHQWO\ ILQG HPEHGGHG QDUUDWLYH DQG RWKHU HSLVRGHV ZKLFK DUH SHUVRQ UDWKHU WKDQ VXEMHFW PDWWHU RULHQWHG 6R IDU ZH KDYH H[DPLQHG WKH NLQGV RI 13V GLVORFDWHG WKHLU SRVLn WLRQV DQG WKHLU IXQFWLRQV RQO\ ZLWK UHIHUHQFH WR WKH WRWDO QXPEHU RI OHIW GLVORFDWLRQV LGHQWLILHG LQ WKH FRUSXV f§ $Q H[DPLQDWLRQ ZLWK

PAGE 124

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f ,Q WKLV ZD\ WZR TXHVn WLRQV DERXW SRWHQWLDO IRU GLVORFDWLRQ FDQ EH DQVZHUHG KRZ OLNHO\ DUH QDPHV SHUVRQV DQG QRQSHUVRQVf WR EH GLVORFDWHG LQ H[SRVLWRU\ GLVn FRXUVH DQG KRZ OLNHO\ DUH WKHPDWLF SLHFHV RI LQIRUPDWLRQ RI DOO NLQGV OLNHO\ WR EH GLVORFDWHG LQ H[SRVLWLRQV" 7R DQVZHU WKH ILUVW TXHVWLRQ WKH QDPHV LQ D VXEVHW RI H[SRVLn WLRQV ILYHRIURP HDFK LQIRUPDQWf ZHUH FRXQWHG 1LQHW\WKUHH LQVWDQFHV RI QDPHV ZHUH IRXQG RI ZKLFK ZHUH GLVORFDWHG 7ZHQW\QLQH SHUFHQW RI WKH SRWHQWLDO QDPHV WKHUHIRUH ZHUH GLVORFDWHG 7R DQVZHU WKH VHFRQG TXHVWLRQ WKH WKHPDWLF SLHFHV RI LQIRUPDWLRQ LQ D VXEVHW RI HLJKW\ H[SRVLWLRQV WZR IURP HDFK LQIRUPDQWf ZHUH FRXQWHG ,Q PDQ\ FDVHV WKHPDWLF HOHPHQWV ZHUH GLIILFXOW WR LGHQWLI\ EHFDXVH WKH VSHDNHU FKDQJHV GLUHFWLRQ RU LQWURGXFHV IXUWKHU XQUHODWHG LQIRUPDWLRQ EHIRUH WKH\ DUH FOHDUO\ HVWDEOLVKHG DQG EHIRUH WKH\ LQLn WLDWH DQ DQDSKRUD FKDLQ $V D UHVXOW ZH FDQ RQO\ DSSUR[LPDWH WKH QXPn EHU RI SRWHQWLDO FDVHV ,Q WKH HLJKW\ H[SRVLWLRQV DSSUR[LPDWHO\ VXFK SRWHQWLDO FDVHV ZHUH IRXQG DQG ILIW\QLQH RI WKHP ZHUH OHIW GLVn ORFDWHG SHUFHQWf 5RXJKO\ VSHDNLQJ WKHQ EHWZHHQ RQHILIWK DQG

PAGE 125

RQHIRXUWK RI WKH SRWHQWLDOO\ GLVORFDWDEOH 13V DUH GLVORFDWHG ,Q DGGLWLRQ WKH VXEVHW RI DQLPDWH WKHPHV ZHUH FRXQWHG WR VHH LI D KLJKHU SHUFHQWDJH RI WKHP ZHUH GLVORFDWHG WKDQ LQDQLPDWH RQHV ,I WKH\ ZHUH WKLV ZRXOG KDYH LQGLFDWHG WKDW OHIW GLVORFDWLRQ LV D FKDUDFWHULQWURGXFLQJ GHYLFH ,W ZDV IRXQG KRZHYHU WKDW D VOLJKWO\ ORZHU SHUFHQWDJH RI LQVWDQFHV RU SHUFHQWf RI WKH DQLn PDWH 13V ZHUH GLVORFDWHG WKDQ WKH LQDQLPDWH RQHV RI RU SHUFHQWf $OWKRXJK WKH FRQVWUDLQW LV VOLJKWO\ VWURQJHU ZLWK QDPHV LW LV DSSDUHQW WKDW WKH RYHUULGLQJ IDFWRUV DFFRXQWLQJ IRU OHIW GLVORFDWLRQ DUH WKH IXQFWLRQV ZH KDYH GLVFXVVHG FRQWUDVWLYHQHVV HPSKDWLFQHVV QHZQHVV HVSHFLDOO\f JLYHQ WKDW WKH 13 LV WKHPDWLF $W OHDVW IRU RXU FRUSXV RI H[SRVLWLRQV LW PDNHV QR VLJQLILFDQW GLIIHUHQFH ZKHWKHU WKH 13 LV DQLPDWH RU QRW 5HODWLRQVKLS WR 6XEVHTXHQW 'LVFRXUVH ,W KDV EHHQ VHHQ WKDW OHIW GLVORFDWLRQ LV D GHYLFH ZKLFK XVXDOO\ LQWURGXFHV QHZ LQIRUPDWLRQ LQWR WKH VWUHDP RI GLVFRXUVH $OVR LW KDV EHHQ VKRZQ WKDW OHIW GLVORFDWHG 13V PD\ LQLWLDWH DQ DQDSKRUD FKDLQ DQG UHSUHVHQW WKH LQIRUPDWLRQ DURXQG ZKLFK VXEVHTXHQW GLVFRXUVH LV RUJDn QL]HG %XW KRZ W\SLFDOO\ GR VXFK 13V GR WKLV" %HIRUH LW LV FRQFOXGHG WKDW OHIW GLVORFDWLRQ LV D WKHPDWLF GHYLFH ZKLFK QRUPDOO\ RUJDQL]HV SDUDJUDSKV ZH PXVW VHH ZKHWKHU WKH GLVFRXUVH EH\RQG WKH LPPHGLDWH VHQn WHQFH ZKHUH WKH OHIW GLVORFDWLRQ RFFXUV LV VWLOO RULHQWHG DURXQG WKDW 13 ,I OHIW GLVORFDWLRQ LQWURGXFHV WKHPHV LW VKRXOG EH DW\SLFDO IRU

PAGE 126

VXFK 13V QRW WR EH WKH FHQWHU RI D VXEVHTXHQW GLVFRXUVH RUJDQL]DWLRQ %XW LW LV DOVR QHFHVVDU\ WR GHILQH WKH UHODWLRQVKLS EHWZHHQ OHIW GLVn ORFDWHG 13V DQG WKH SRUWLRQV RI GLVFRXUVH ZKLFK IROORZ WKHP 7R GHn WHUPLQH WKLV ZH ORRN DW WKH VXEVHW RI H[SRVLWLRQV IURP WKH FRUn SXV ZH DOVR XVHG IRU HDUOLHU DQDO\VHV ,Q WKH H[SRVLWLRQV WKHUH DUH LQVWDQFHV RI OHIW GLVORFDn WLRQ 2YHU WZRWKLUGV RI WKH OHIW GLVORFDWHG 13V DUH WKHPDWLF 7KH\ FRQVWLWXWH WKH FHQWUDO ELW RI LQIRUPDWLRQ DURXQG ZKLFK WKH PHVVDJH LV RUJDQL]HG EH\RQG RQH VHQWHQFH 7KHUH DUH JRRG UHDVRQV IRU WKH UHPDLQn LQJ WKHPHV RI RQO\ RQH VHQWHQFH D SRLQW WR ZKLFK ZH UHWXUQ EHORZ 0RUH WKDQ RQHKDOI RI WKH WRWDO RI WKH f DUH WKHPDWLF IRU DW OHDVW WKUHH VHQWHQFHV )LJXUH RQ WKH IROORZLQJ SDJH VXPPDUL]HV WKH H[WHQW WR ZKLFK WKH GLVORFDWHG 13V DUH WKHPDWLF DQG KRZ PDQ\ DUH WKHPDWLF WR HDFK H[WHQW )LJXUH VKRZV WKDW OHIW GLVORFDWHG 13V PD\ EH WKHPDWLF IRU TXLWH H[WHQVLYH OHQJWKV QHDUO\ RQHWHQWK RI WKH LQVWDQFHV DUH WKHn PDWLF IRU DW OHDVW WHQ VHQWHQFHV 7KH JUHDWHVW H[WHQW WR ZKLFK RQH LV WKHPDWLF LV IRU WKLUW\HLJKW VHQWHQFHV $V D WKHPDWLF GHYLFH OHIW GLVORFDWLRQ UHSUHVHQWV D VSHDNHUnV VWUDWHJ\ RI SUHVHQWLQJ WR D KHDUHU ZKDW DQ HQVXLQJ EORFN RI GLVFRXUVH ZLOO EH DERXW ,W VHHPV XQOLNHO\ WKDW D VSHDNHU ZRXOG VLJQDO WKH LQn WURGXFWLRQ RI D WKHPH E\ VXFK D GHYLFH ZKLFK ZRXOG WXUQ RXW WR EH WKHn PDWLF IRU RQO\ RQH VHQWHQFH ZLWKRXW WKHUH EHLQJ RYHUULGLQJ UHDVRQV IRU GRLQJ VR RU DQ H[SOLFLW VLJQDO WKDW VXFK ZDV WKH FDVH 2QFH D WKHPH KDV EHHQ LQWURGXFHG LW VHHPV OLNHO\ WKDW LW ZRXOG EH PDLQWDLQHG IRU

PAGE 127

1R RI 6HQWHQFHV 1R RI 13V 7KHPDWLF 3HUFHQWDJH RI 7RWDO %H\RQG ,QWURGXFWLRQ 7R 7KLV ([WHQW )RU :KLFK 13 ,V 7KHPDWLF )LJXUH ([WHQW 7R :KLFK /HIW 'LVORFDWHG 13V $UH 7KHPDWLF

PAGE 128

VHYHUDO VHQWHQFHV RU DW OHDVW XQWLO D VSHDNHU VLJQDOHG WR D KHDUHU WKDW LW ZHUH QR ORQJHU WKH WKHPH ,Q ORRNLQJ DW WKH VL[W\RQH LQVWDQFHV RI OHIW GLVORFDWHG 13V LQ RXU FRUSXV ZKLFK DUH WKHPDWLF IRU RQO\ RQH VHQWHQFH ZH ILQG WKDW LQ WKH PDMRULW\ RI f RI WKHP D VSHDNHU HPSOR\V RQH RU WZR RI WKH B FRKHVLYH GHLYFHV WKHPDWLF GHYLFHV DQG FRQMXQFWLRQV HVSHFLDOO\f WR LQn GLFDWH WR D KHDUHU WKDW D WKHPH ZLOO QRW EH PDLQWDLQHG ,Q WKH UHn PDLQLQJ ILIWHHQ LQVWDQFHV WKH VSHDNHU SURYLGHV VRPH RWKHU RWKHU H[SOLn FLW VLJQDO 0RVW RIWHQ D VSHDNHU ZLOO XVH D WKHPDWLF GHYLFH HLWKHU DQRWKHU OHIW GLVORFDWLRQ RU DQ H[LVWHQWLDO RU RQH RU PRUH FRQMXQFn WLRQV DQRWKHU NLQG RI VXUIDFH VWUXFWXUH FRKHVLYH GHYLFH ZKLFK ZLOO EH RXU FRQFHUQ LQ FKDSWHU ILYH 7KHVH GHYLFHV LQGLFDWH WR D KHDUHU WKDW D FKDQJH LQ VXEMHFW RU LQ GLUHFWLRQ RI D VSHDNHUnV H[SRVLWLRQ LV WDNn LQJ SODFH 7KH\ DUH SDUW RI D VSHDNHUnV UHSHUWRLUH RI GHYLFHV IRU VWUXFWXULQJ DQ RQJRLQJ PRQRORJXH ,Q HLJKWHHQ RI WKH VL[W\ RQH LQVWDQFHV ZH ILQG DQRWKHU WKHPH H[n SOLFLWO\ LQWURGXFHG LQ WKH IROORZLQJ VHQWHQFH 7HQ RI WKHVH LQYROYH DQRWKHU OHIW GLVORFDWLRQ WZR DQ H[LVWHQWLDO VHQWHQFH DQG VL[ WKH LQn WURGXFWLRQ RI DQRWKHU FKDUDFWHU LQWR WKH GLVFRXUVH ,Q WZHQW\HLJKW LQVWDQFHV RQH RU PRUH FRQMXQFWLRQV RU VHTXHQFHUV RU LQWHUMHFWLRQV DUH XVHG WR VKRZ WKH KHDUHU D FKDQJH LQ GLUHFWLRQ 7KHVH FRQMXQFWLRQV DQG RWKHU VWUXFWXUHV DUH VKRZQ LQ )LJXUH RQ WKH IROORZLQJ SDJH 0RUH RIWHQ WKDQ QRW WKHVH FRQMXQFWLRQV DUH SUHFHGHG RU IROORZHG E\ D SDXVH RU D KHVLWDWLRQDO XK ZKLFK UHLQIRUFHV WKH FKDQJH RI GLUHFWLRQ WKH\ VLJQDO WR D KHDUHU $OVR WKH\ RIWHQ DFFRPSDQ\ WKHPDWLF GHYLFHV DQG IXUWKHU VWUHQJWKHQ D VSHDNHUnV FKDQJH RI WKHPH VLJQDO

PAGE 129

6HQWHQFH,QLWLDO &RQMXQFWLRQVf )UHTXHQF\ RI 8VH DQG WKHQ EXW DQG RI FRXUVH ZHOO VR WKHQ OLNH H[FHSW )LJXUH &RQMXQFWLRQV 6LJQDOLQJ &KDQJH LQ 7KHPH

PAGE 130

,Q WKH IROORZLQJ H[FHUSW WKH GLVORFDWHG 13 WKLV RQH VRQ WKDWnV ZLWK PH LV WKHPDWLF IRU RQO\ RQH VHQWHQFH 7KH IROORZLQJ VHQWHQFH EHJLQV ZLWK ERWK D FRQMXQFWLRQ DQG DQRWKHU OHIW GLVORFDWLRQ WR LQGLn FDWH D FKDQJH LQ WKHPH IRU FRQWUDVW LQ WKLV FDVH f7KLV RQH VRQ WKDWfV OLYHV KHUH ZLWK PH KHnOO MXVW VLW DQG GLH ODXJKLQJ DW VWXII WKDW JRHV RQ DQG DQG HQMR\ LW \RX NQRZ %XW WKH RWKHU WZR WKH\ GRQnW IHQFH ZLWK WKDW VWXII VR GRQnW NQRZ 9,,,f 7KH UHPDLQLQJ ILIWHHQ LQVWDQFHV RI D OHIW GLVORFDWHG 13 WKHPDWLF IRU RQO\ RQH VHQWHQFH DUH RI IRXU GLIIHUHQW NLQGV ,Q ILYH LQVWDQFHV WKH OHIW GLVORFDWLRQ RFFXUV LQ WKH ODVW VHQWHQFH RI WKH H[SRVLWLRQ LQn GLFDWLQJ WKH VSHDNHU GLG QRW ZLVK WR SXUVXH WKH VXEMHFW IXUWKHU ,Q IRXU LQVWDQFHV WKH 13 LV FRSLHG E\ WKDW LQ DQ LGHQWLI\ VHQWHQFH DV LQ f 7KUHVKLQJ IORRUV WKDWnV ZKDW WKH\ KDG ,,f :H ZLOO GLVFXVV LGHQWLI\LQJ VHQWHQFHV LQ FKDSWHU IRXU 7KH\ SUHVHQW D VXPPDU\ LGHQWLILFDWLRQ UHJDUGLQJ VRPHWKLQJ DQG LW LV KDUGO\ VXUSULVLQJ WKDW D VSHDNHU ZRXOG LQWURGXFH D QHZ WKHPH DIWHU PDNLQJ VXFK D SRLQW $QRWKHU NLQG RI VXPPDU\ HIIHFW LV JLYHQ ZKHQ WKH VHQWHQFH IROORZn LQJ WKH RQH IURP ZKLFK D GLVORFDWLRQ WDNHV SODFH KDV DQ LQWHQVLYH MXVW LQ LW DV LQ EHORZ f EXW WKH RWKHU WZR WKH\ GRQnW IHQFH ZLWK WKDW VWXII VR GRQnW NQRZ UHFNRQ LWnV MXVW WKH ZD\ \RX WKLQN 9,f 7KH VXPPDUL]LQJ HIIHFW KHUH LQGLFDWHV WKLV LV ZHOOFRQVWUXFWHG WKHPDn WLFDOO\ )RXU RI WKH VL[W\RQH LQVWDQFHV KDYH WKLV VLJQDO

PAGE 131

7KH UHPDLQLQJ WZR LQVWDQFHV RI WKH VL[W\RQH ZKLFK DUH WKHPDWLF IRU RQO\ RQH VHQWHQFH LQYROYH D VSHDNHUnV FKDQJH LQ SHUVSHFWLYH 7KLV LV VLJQDOHG E\ D SKUDVH VXFK DV WKLQN UHYHDOLQJ DQ H[SOLFLW ILUVW SHUVRQ VWDWHPHQW 2QH RI WKH WZR LQVWDQFH IROORZV f DQG WKH RWKHUV \RX NQRZ ZH PLJKW GUDZ WKHP LQWR RXU JURXS DQG DJDLQ ZH PLJKW QRW :HnG PDNH D UHDOO\ JRRG VRFLRORJLFDO VWXG\ WKLQN ;,f 7KH NLQGV RI GHYLFHV XVHG E\ VSHDNHUV LQ RXU H[SRVLWRU\ PRQRORJXHV WR LQGLFDWH D FKDQJH LQ WKHPH DIWHU RQH VHQWHQFH DUH H[DFWO\ WKH VDPH DV WKRVH XVHG DIWHU ORQJHU GLVFRXUVH EORFNV XQLILHG WKHPDWLFDOO\ 7KH RQO\ GLIIHUHQFH LV WKDW ZH ILQG D JUHDWHU YDULHU\ RI FRQMXQFWLRQV LI ZH ORRN DW LQVWDQFHV )RU DERXW D WKLUG RI WKH FDVHV RI f ZH ILQG DQ H[SOLFLW LQn WURGXFWLRQ RI D QHZ WKHPH WKLUW\WKUHH WLPHV E\ DQRWKHU OHIW GLVORFDn WLRQ VL[WHHQ WLPHV E\ DQ H[LVWHQWLDO VHQWHQFH DQG WKLUWHHQ WLPHV E\ WKH LQWURGXFWLRQ RI DQRWKHU FKDUDFWHU LQWR WKH H[SRVLWLRQ ,Q IRUW\ LQ WDQFHV RI WKH WKH WKHPH GLVFRQWLQXHV EHFDXVH WKH HQG RI WKH PRQRn ORJXH LV UHDFKHG 7KH PRVW FRPPRQ FRQMXQFWLRQV XVHG WR LQGLFDWH D FKDQJH LQ WKHPH IRU WKH FDVHV DUH WKH VDPH DV ZHUH IRXQG IRU WKH DERYH 6HYHUDO FRQn MXQFWLRQV QRW IRXQG HJ DQ\ZD\f IRU WKH VDPSOH RI LQVWDQFHV DSn SHDUHG DQG WKHUH DUH VHYHUDO LQVWDQFHV DPRQJ WKH ODUJHU VDPSOH RI FRPn ELQDWLRQV RI FRQMXQFWLRQV DV DQG WKHQ RI FRXUVH IRU WKH H[DPSOH EHn ORZ ZKLFK LQWHQVLI\ WKH VSHDNHUnV VLJQDO f 8QFOH -RKQ +DUULVRQ KH XK UXQ WKDW OLYHU\ VWDEOH $QG WKHQ RI FRXUVH WKH\ GLG DZD\ ZLWK WKDW SDUW RI LW 9,f

PAGE 132

LW LV REYLRXV KRZHYHU WKDW FRQMXQFWLRQV IRU RXU ODUJHU VDPSOH DUH XVHG LQ H[DFWO\ WKH VDPH ZD\ DV WKRVH LQ WKH VPDOOHU RQH E\ VSHDNHUV WR LQGLFDWH LQ PDQ\ FDVHV D FKDQJH LQ WKHPH IRU DQ RQJRLQJ GLVFRXUVH &RQMXQFWLRQV KDYH IXQFWLRQV RWKHU WKDQ LQGLFDWLQJ D SDUDJUDSKnV WKHPH RI FRXUVH :KDW WKHQ LV WKH UHODWLRQVKLS EHWZHHQ OHIW GLVORFDWHG 13V DQG VXEn VHTXHQW GLVFRXUVH" $Q DQVZHU FDQ QRZ EH JLYHQ 6XFK 13V DUH QRUPDOO\ WKHPDWLF IRU PRUH WKDQ RQH VHQWHQFH $IWHU LQWURGXFLQJ DQ 13 UHSUHn VHQWLQJ QHZ LQIRUPDWLRQ LQWR GLVFRXUVH WKURXJK OHIW GLVORFDWLRQ D VSHDNHU QRUPDOO\ PDLQWDLQV LW DV WKH WKHPH XQWLO KH H[SOLFLWO\ LQGLFDWHV EWKHUZLVH $IWHU D OHIW GLVORFDWLRQ D KHDUHU H[SHFWV WKH HQVXLQJ GLVn FRXUVH WR EH WKHPDWLFDOO\ XQLILHG DURXQG ZKDW KDV EHHQ GLVORFDWHG 7KLV H[SHFWDWLRQ RQ WKH SDUW RI WKH KHDUHU LV IUHTXHQWO\ IDFLOLWDWHG E\ D VSHDNHUnV XVH RI DQDSKRUD UHIHUULQJ WR WKH WKHPH :KHQ D VSHDNHU ZLVKHV WR WXUQ WR D QHZ WKHPH KHVKH XVHV RQH RU DQRWKHU GHYLFH IRU WKH KHDUn HUnV EHQHILW WR LQGLFDWH WKLV LV KDSSHQLQJ $ ZULWHU XVHV DQ LQGHQWDn WLRQ WR VLJQDO D FKDQJH LQ WKHPH DQG KHQFH WKH EHJLQQLQJ RI D QHZ SDUDn JUDSK D VSHDNHU XVHV DQ DQDORJRXV FRKHVLYH GHYLFH ZKLFK LV YHUEDO WR LQGLFDWH D FKDQJH LQ WKHPH DQG WKH EHJLQQLQJ RI D QHZ RUDOf SDUDJUDSK :H PD\ FRQFOXGH WKHQ WKDW DW OHDVW IRU RXU FRUSXV WKH IXQGDPHQn WDO IXQFWLRQ RI OHIW GLVORFDWLRQ LV WKH FUHDWLRQ RI SDUDJUDSKV ([LVWHQWLDO 6HQWHQFHV DV 7KHPDWLF 'HYLFHV 7KH RWKHU WKHPDWLF GHYLFH ZKLFK LV ZLGHO\ IRXQG LQ RXU FRUSXV RI H[SRVLWLRQV LV WKH H[LVWHQWLDO VHQWHQFH D NLQG RI VHQWHQFH ZKLFK QRUn PDOO\ EHJLQV ZLWK WKHUH DQG LQGLFDWHV WKH H[LVWHQFH RU QRQH[LVWHQFH

PAGE 133

RI VRPHWKLQJ 7KH LQIRUPDWLRQ LQWURGXFHG E\ H[LVWHQWLDOV LV W\SLFDOO\ QHZ WR WKH VWUHDP RI GLVFRXUVH DV ZH VHH LQ WKH H[WHQGHG H[DPSOH EHn ORZ f LI WKDW FDQQLQJ IDFWRU\ KDGQnW EXUQHG LWnG JLYH D ORW RI SHRSOH MREV LQ WKDW DUHD WRR
PAGE 134

LQGHILQLWH ,W PD\ EH VSHFLILF JHQHULF RU QRQVSHFLILF LQGHILQLWH EXW LQ RQO\ RQH LQVWDQFH JLYHQ EHORZ RXW RI LQ WKH VHW RI H[SRVLWLRQVf LV LW GHILQLWH f %HFDXVH WKHUHnV WKH 6HYHQWK 'D\ $GYHQWV >VLF@ WKH\ KDYH WKHLU VHUYLFHV RQ ,9f /HIW GLVORFDWLRQ DQG H[LVWHQWLDO VHQWHQFHV WKXV FRPSOHPHQW RQH DQRWKHU 7KH IRUPHU XVXDOO\ GRHV QRW LQWURGXFH LQGHILQLWHV WKH ODWWHU YHU\ UDUHO\ GRHV RWKHUZLVH %RWK FDQ LQWURGXFH VSHFLILF LQGHILQLWHV ,Q WKH IROORZLQJ H[DPSOH IRU LQVWDQFH ZH VHH WKDW WKH LQIRUPDQW EHJLQV WKH VHQWHQFH ZLWK D GHILQLWH 13 %XW ZKHQ VKH UHDOL]HV WKDW VKH ZLOO LQWURGXFH D VSHFLILF LQGHILQLWH RQH LQVWHDG VKH GRHV VR ZLWK DQ H[LVn WHQWLDO DQG QRW WKURXJK OHIW GLVORFDWLRQ f $QG QRZ WKHQ WKH 6PLWK WKHUHnV D KDQGLFDSSHG ER\ WKDW OLYHV LQ WKDW EXLOGLQJ QRZ .HQQHWK 6PLWK ,,f 7KLV [DPSOH VKRZV D VZLWFK LQ VWUDWHJ\ E\ WKH VSHDNHU ,Q WKH GDWD ZH ILQG D QXPEHU RI VHQWHQFHV ZKLFK EHJLQ ZLWK DQ H[LVWHQWLDO DQG WKHQ DSSHDU WR EH OHIW GLVORFDWLRQV VXFK DV f $QG WKHUH ZDV DQ ROG JHQWOHPDQ QDPHG $UZRRG KH OLYHG GRZQ WKH URDG MXVW D OLWWOH ZD\V GRZQ WKHUH ;f ZKLFK DOVR LQYROYH VSHFLILF LQGHILQLWHV DQG ORRN OLNH FKDQJHV LQ VSHDNHU VWUDWHJ\ 7KH\ DUH ZHOOIRUPHG FRQVWUXFWLRQV KRZHYHU DQG ZH ZLOO ORRN DW WKHP LQ GHWDLO DW WKH HQG RI WKLV VHFWLRQ 7KH\ UHSUHVHQW D IXVLRQ RI OHIW GLVORFDWLRQ DQG H[LVWHQWLDO SDWWHUQV

PAGE 135

$V D WKHPDWLF GHYLFH WKH H[LVWHQWLDO VHQWHQFH GRHV QRW KDYH WKH IRUFH RI OHIW GLVORFDWLRQ IRU SHUKDSV WKUHH UHDVRQV )RU RQH LW LV QRW D PDUNHG FRQVWUXFWLRQ LQ WHUPV RI LQIRUPDWLRQ VWUXFWXUHf DV OHIW GLVORFDWLRQ LV 1RW RQO\ LV LW QRUPDO JHQHUDOO\ VSHDNLQJ IRU WKH ILUVW PHQWLRQ RI D QRXQ H[FHSW SURSHU QRXQVf LQ D GLVFRXUVH WR EH LQn GHILQLWH /HIW GLVORFDWLRQ RYHUULGHV WKLV %XW OHIW GLVORFDWLRQ DOVR KDV WKH HIIHFW RI \DQNLQJ DQ 13 IURP LWV H[SHFWHG V\QWDFWLF SRVLWLRQ DQG EUDFNHWLQJ LW DW WKH IURQW RI D VHQWHQFH %RWK OHIW GLVORFDWLRQ DQG WKH H[LVWHQWLDO DUH WKHPDWLF GHYLFHV DQG LQWURGXFH WKHPHV EXW WKH IRUPHU LV D PDUNHG FRQVWUXFWLRQ WKH ODWWHU QRW $QRWKHU UHDVRQ LV WKDW DQ H[LVWHQWLDOL]HG 13 GRHV QRW LQLWLDWH DQ DQDSKRUD FKDLQ QHDUO\ VR RIWHQ DV D OHIW GLVORFDWHG RQH ,Q WKH H[SRVLn WLRQ DERYH S f IRU H[DPSOH IRXU H[LVWHQWLDOL]HG 13V SHRSOH UDLOURDG GHSRW DQG H[SUHVV RIILFHf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n WLDOL]HG 13V KDYH TXDQWLILHUV DV GR WKH IROORZLQJ f $QG WKHQ WKHUHnV D ORW RI IOX JRLQJ DURXQG 9,,,f f 7KH\nV RQO\ RQH WKLQJ ,nG OLNH IRU WKLV WRZQ WR JHW 9,,,f ([LVWHQWLDO VHQWHQFHV ZLWK TXDQWLILHUV LQ WKH GDWD UDUHO\ LQLWLDWH DQDSKRUD FKDLQV

PAGE 136

([LVWHQWDLV KDYH EHHQ ZLGHO\ UHFRJQL]HG LQ WKH OLWHUDWXUH DV E\ %D\OHVV DQG -RKQVRQ DV VLJQDOLQJ WKDW QHZ LQIRUPDWLRQ LV EHLQJ LQWURGXFHG ZLWKRXW GLUHFWO\ UHODWLQJ LW WR VRPH ROG LQIRUPDWLRQ QGf %XW WKLV IXQFWLRQ DQG WKH IXQFWLRQ RI LQGLFDWLQJ WKDW VRPHWKLQJ GRHV RU GRHV QRW H[LVW VHHP WR EH WKH RQO\ EDVLF IXQFWLRQV RI H[LVWHQWLDOV 7KH\ GR QRW SRVVHVV WKH UDQJH RI IXQFWLRQV WKDW OHIW GLVORFDWLRQ KDV ([LVWHQWLDOV DUH QRW XVHG WR LQGLFDWH D FRQWUDVW QRU GR WKH\ HPSKDWLFDOO\ UHLQWURGXFH DQ 13 EDFN LQWR D GLVFRXUVH 2Fn FDVLRQDOO\ DQ H[LVWHQWLDO ZLOO VSHFLI\ D VXEJURXS RI DQ 13 ZKLFK KDV EHHQ SUHYLRXVO\ PHQWLRQHG FI OHIW GLVORFDWLRQ SS DERYHf DV LQ EHORZ f 7KH RQO\ RSSRVLWLRQ ZRXOG WKLQN XK WKDW ZRXOG FRPH IURP ZLWKLQ WKLV WRZQ WR DQ\ RQH WKLQJ JXHVV ZRXOG EH PD\EH RSSRVLWLRQ WR DOFRKRO 7KHUHnG EH VRPH RSSRVLWLRQ WKHUH 7777f ,Q WZR LQVWDQFHV RI WKH DQ H[LVWHQWLDO LV UHSHDWHG DV LQ EHORZ WR UHLQIRUFH WKH HIIHFW RI WKH ILUVW RQH f WKHUHnV PRUH GLIIHUHQFH LQ WKH DWPRVSKHUH WKH SHRSOH DQG DOO IURP KHUH WR WKHUH WKDQ WKHUH ZDV IURP ZKHQ ZHQW WR 3KLODGHOSKLD
PAGE 137

:H KDYH VHHQ WKDW OHIW GLVORFDWLRQ DQG H[LVWHQWLDO VHQWHQFHV KDYH GLIIHUHQW UDQJHV RI IXQFWLRQV EXW WKDW ERWK LQWURGXFH QHZ WKHn PDWLF LQIRUPDWLRQ LQWR GLVFRXUVH DV D UXOH DOEHLW RI GLIIHUHQW NLQGV $ FORVH ORRN DW RXU :KLWH 3LQH UHYHDOV D QXPEHU RI VHQWHQFHV ZKLFK FRPELQH OHIW GLVORFDWLRQ DQG H[LVWHQWLDOL]DWLRQ ,Q VXFK VHQWHQFHV WKH GLIIHUHQFHV EHWZHHQ WKH WZR GLVDSSHDU DV LQ VHQWHQFHV EHORZ f 7KHUHnV QRW D WHDFKHU GRQnW WKLQN XS WKHUH WKDW ZRXOGQnW ZDQW P\ FKLOG WR EH LQ WKHLU URRP 9,f f %XW WKH\nV VRPH SHRSOH ZRXOGQnW ZDQW nHP WR JURZ XS LQ :KLWH 3LQH OLNH LW LV 9,,,,f f 7KHUH DUH SHRSOH LQ WKLV WRZQ WKDW ZRXOG ORYH WR VWHS RQ WKHLU IDFH 9,,,f 2Q EDODQFH WKHVH VHQWHQFHV VHHP OHVV OLNH OHIW GLVORFDWLRQV WKDQ H[ LVWHQWLDOV ,Q WKHVH ZH GR QRW ILQG WKH FKDUDFWHULVWLF MXQFWXUH ZKLFK IROORZV D OHIW GLVORFDWHG 13 D VOLJKW SDXVH DQG OHYHO RU RQO\ YHU\ VOLJKWO\ IDOOLQJ LQWRQDWLRQ LQ FRQWUDVW WR WKH IDOOLQJ WRQH FKDUn DFWHULVWLF RI WKH HQG RI D GHFODUDWLYH VHQWHQFHf %XW LQ VHYHQWHHQ LQVWDQFHV LQ RXU FRUSXV DV D ZKROH WKHUH DUH VHQWHQFHV VXFK DV f NQRZ WKH\ ZDV VRPH SHRSOH XK WKHLU FDUV JRW VWDOOHG EHWZHHQ KHUH DQG WKHUH ;,f f $QG WKHUH ZDV DQ ROG JHQWOHPDQ QDPHG $UZRRG KH OLYHG GRZQ WKH URDG MXVW D OLWWOH ZD\V GRZQ WKHUH ;f f :HOO WKHUH ZDV D ODG\ OLYHG LQ WKLV FRPPXQLW\ VKH ZDV DQ HGXFDWHG VRPHERG\ D VFKRRO WHDFKHU ;f LQ ZKLFK DQ 13 LV H[LVWHQWLDOL]HG DQG WKHQ FRSLHG E\ D SURQRXQ DQG ZKLFK KDYH WKH FKDUDFWHULVWLF MXQFWXUH EHWZHHQ WKH 13 DQG WKH UHVW RI WKH VHQWHQFH 2Q WKHVH 13V VWHDG\ SLWFK LV PDLQWDLQHG DQG GRHV QRW

PAGE 138

IDOO RII DV DW WKH HQG RI D VHQWHQFH 7KH WKUHH H[DPSOHV DERYH DQG WKH IRXUWHHQ RWKHUV FDQQRW EH UHJDUGHG DV DQ\WKLQJ EXW IXVHG VHQn WHQFHV ,W LV KHUH WKDW RXU WZR W\SHV RI WKHPDWLF GHYLFHV OHIW GLVORn FDWLRQ DQG H[LVWHQWLDOL]DWLRQ FRQVLGHUHG VHSDUDWHO\ LQ WKLV FKDSWHU IDOO WRJHWKHU DQG VKRZ WKDW WKH\ DUH LQGHHG HTXLYDOHQW VWUXFWXUHV ZKHQ LW FRPHV WR LQWURGXFLQJ WKHPDWLF 13V ZKLFK DUH HLWKHU VSHFLILF RU JHQHULF LQGHILQLWH 6XFK 13V PD\ EH LQWURGXFHG E\ HLWKHU RU ERWK GHYLFHV (VSHFLDOO\ ZLWK JHQHULF 13V WKH WZR GHYLFHV PRVW FOHDUO\ PHUJH

PAGE 139

&+$37(5 ,9 '(,&7,&6 $1' 6800$5< '(9,&(6 *HQHUDO 5HPDUNV ,Q WKLV FKDSWHU ZH FRQVLGHU WZR DGGLWLRQDO VXUIDFH VWUXFWXUH FRKHVLYH GHYLFHV GHLFWLFV DQG VXPPDU\ GHYLFHV ZKLFK /RQJDFUH DQG /HYLQVRKQ VXJJHVW DV FUXFLDO WR DQ LQYHVWLJDWLRQ RI WKH RUJDQL]DWLRQ RI GLVFRXUVH 7KH\ LQGLFDWH WKDW GHLFWLFV ZRUGV ZLWK D VSHFLILF UHIn HUHQW ZKLFK SRLQW HOVHZKHUH LQ GLVFRXUVH HVSHFLDOO\ WKH GHPRQVWUDn WLYHV WKLV DQG WKDWf DUH IUHTXHQWO\ XVHG LQ ODQJXDJHV WR NHHS WUDFN RI D GLVFRXUVHnV SDUWLFLSDQWV 7KH\ LQGLFDWH WKDW VXPPDU\ LV DQ LPSRUWDQW W\SH RI SDUDSKUDVH ZKLFK PDNHV XVH RI YHU\ JHQHULF SUHGLn FDWHV DQG VXEVWLWXWHV f 7KH WZR GHYLFHV DUH FRQVLGHUHG WRn JHWKHU EHFDXVH IRU RXU GDWD D VSHDNHU XVXDOO\ HPSOR\V D GHLFWLF LQ VXPPDUL]LQJ DV LQ LGHQWLI\LQJ VHQWHQFHV VXFK DV 7KDWnV ZKDW PHDQW $V D VWUXFWXUH ZKLFK SRLQWV D GHLFWLF PD\ EH HLWKHU HQGRSKRULF RU H[RSKRULF ,I HQGRSKRULF LW SRLQWV HOVHZKHUH ZLWKLQ D WH[W LI H[R SKRULF LW SRLQWV RXWVLGH D WH[W $Q HQGRSKRULF GHLFWLF PD\ EH HLWKHU DQDSKRULF SRLQWLQJ EDFNZDUGf RU FDWDSKRULF SRLQWLQJ IRUZDUGf ,Q WKLV VWXG\ ZH ZLOO H[DPLQH RQO\ HQGRSKRULF GHLFWLFV DQG VSHFLILFDOO\ ZLOO H[n DPLQH WKHLU XVH LQ IRXU GLIIHUHQW VWUXFWXUHV f OHIW GLVORFDWLRQ ZLWK D GHLFWLF DV WKH SURQRPLQDO UHIHUHQFH DV LQ 6XOIXU DQG PRODVVHV WKDWnV DQRWKHU WKLQJf f H[WUDSRVLWLRQ RI D VXEMHFW DV LQ 7KDW ZDVQnW SRVn VLEOH WR JHW WKHUHf f LGHQWLI\LQJ VHQWHQFHV DV LQ 7KDWnV ZKDW

PAGE 140

UHDOO\ KDSSHQHG WR XVf DQG f ZKDW ZH FDOO SHDN VHQWHQFHV DV LQ JXHVV WKDWnV DOO ZH FDQ H[SHFW RXW RI OLIH LV D OLYLQJf 7KH ODWWHU WZR VWUXFWXUHV DUH IUHTXHQWO\ XVHG E\ D VSHDNHU WR VXPPDUL]H D EORFN RI GLVFRXUVH :H DUH FRQFHUQHG ZLWK RQO\ WKH WZR GHLFWLFV WKLV DQG WKDW LQ RXU GDWD *HQHUDOO\ VSHDNLQJ WKLV PD\ EH HLWKHU DQDSKRULF RU FDWDn SKRULF DOWKRXJK XVXDOO\ WKH ODWWHU 7KDW YHU\ UDUHO\ LV FDWDSKRULF :H VHH LQ WKH IROORZLQJ H[DPSOHV IURP WKH GDWD WKDW WKH WZR GHLFWLFV XVXDOO\ SRLQW LQ RSSRVLWH GLUHFWLRQV f +H UHDOO\ PHDQV WR GR JRRG 7KLV ZDV RQH WKLQJ DERXW WKH .HQQHGLHV 7KH\ KDG GHILQLWH JRDOV WKDW WKH\ ZHUH JRLQJ WR WU\ WR f f 6R WKLV LV D .QR[YLOOH PDQ WKDW FRPH WR 0RUULVWRZQ DQG , ZHQW RXW WKHUH WR VHH KLP 9f f :HOO LQGXVWU\ ,nG MXVW DV VRRQ VWD\ RXW DQ\ZD\ $V IDU DV \RX NQRZ DOO LQGXVWU\nV GRLQJnV SROOXWLQJ WKH DLU DQG UXLQLQJ WKH HQYLURQPHQW DQG \RX NQRZ WKDWnV OLNH WKH ELJ FLW\ WKDWnV DQRWKHU UHDVRQ ZRXOGQnW ZDQW WR OLYH LQ D ELJ FLW\ a7Yf ,Q WKH ILUVW H[DPSOH WKLV SRLQWV IRUZDUG WR D SRLQW WKH VSHDNHU ZLVKHV WR PDNH DERXW WKH .HQQHGLHV ,Q WKH VHFRQG H[DPSOH WKH VSHDNHU XVHV WKLV WR SRLQW IRUZDUG WR DQ LQGLYLGXDO VKH LV JLYLQJ LQIRUPDWLRQ DERXW $OWKRXJK VKH KDG HDUOLHU PHQWLRQHG KLP LQ WKLV VHQWHQFH VKH LQGLFDWHV KH LV IURP .QR[YLOOH D QHZ SLHFH RI LQIRUPDn WLRQ ZKLFK WKLV SRLQWV IRUZDUG WR ,Q WKH WKLUG H[DPSOH WKDW PDNHV D EURDG UHIHUHQFH EDFNZDUG WR WKH HIIHFWV LQGXVWU\ KDV RQ FLWLHV DFFRUGLQJ WR WKH VSHDNHU 7KHVH WZR GHLFWLFV KDYH PXFK LQ FRPPRQ ZLWK SURQRXQV %RWK GHLFn WLFV DQG SURQRXQV SDUWLFLSDWH LQ DQDSKRUD FKDLQV DQG ERWK DUH UHIHUHQ WLDO WR RWKHU SDUWV RI D GLVFRXUVH %XW WKH UHIHUHQFH RI GHLFWLFV

PAGE 141

LV JHQHUDOO\ OHVV FOHDU DQG PXFK EURDGHU WKDQ LW LV IRU SURQRXQV 1RQH RI WKH WKUHH GHLFWLFV LQ WKH H[DPSOHV DERYH IRU LQVWDQFH FOHDUO\ UHIHU WR D VSHFLILF 13 RU RWKHU HOHPHQW 0RUH LPSRUWDQW WKDQ WKH UHIHUHQWLDO IXQFWLRQ RI GHLFWLFV LV WKH IXQFWLRQ RI SRLQWLQJ RI JLYLQJ WKH KHDUHU GLUHFWLRQV LQ DQ RQJRLQJ GLVFRXUVH 'HLFWLFV VHUYH SULPDULO\ WR NHHS D GLVFRXUVH JRLQJ E\ SRLQWLQJ IRUZDUG RU EDFNZDUG DQG WKH\ SOD\ D ODUJH SDUW LQ WKH RUJDQL]DWLRQ RI WKH H[SRVLWLRQV LQ RXU FRUSXV 7KH IRXU VWUXFWXUHV ZH ZLOO H[DPLQH DUH WKH PRVW LQWHUHVWLQJ LQYROYLQJ GHLFWLFV EXW UHSUHVHQW RQO\ D IHZ ZKLFK DUH LPSRUWDQW LQ RUJDQL]LQJ RQJRLQJ H[SRVLWLRQV 7KH RWKHU IXQFWLRQV RI GHLFWLFV GHULYH IURP WKH EDVLF IXQFWLRQ WR RUJDQL]H D GLVFRXUVH 2QH RI WKH PRVW LPSRUWDQW RI WKHVH LV WR VLJQDO WR D KHDUHU D FRQFOXVLRQ RU VXPPDU\ VWDWHPHQW $ VSHDNHU ZLOO RIWHQ XVH D VHQWHQFH ZLWK WKDW WR LQGLFDWH WKH HQG RI D SDUDJUDSK RU GLVn FRXUVH KDV DUULYHG DV LQ WKH IROORZLQJ H[DPSOH f 0\ PRWKHU ZDV ERUQ LQ &RUELQ .HQWXFN\ 6KH ZDV ERUQ LQ &RUELQ .HQWXFN\ 8K DW D YHU\ HDUO\ DJH WKH\ PRYHG WR .LQJVSRUW DQG XK GRQnW NQRZ ZK\ QHYHU DVNHG GLGQnW DVN WKH UHDVRQ ZK\ EXW WKH\ PRYHG WR .LQJVSRUW DQG RI FRXUVH VKH ZDV UDLVHG LQ .LQJVSRUW $QG RI FRXUVH WKDWnV ZKHUH P\ IDWKHU PHW KHU ZDV LQ .LQJVSRUW $QG RI FRXUVH ZKHQ WKH\ VLQFH WKH\nYH EHHQ PDUULHG QRZ IRU ZHOO KHnV OLYHG GRZQ KHUH QRZ WKLUW\ LWnOO EH WKLUW\ \HDUV LQ 0DUFK 6DPH WLPH ZKHQ WKH\ DOO PRYHG GRZQ KHUH :H DOO PRYHG WRJHWKHU XQKXKf WKLUW\ \HDUV DJR 7KDWnV D ORQJ WLPH PDNLQJ PH IHHO ROG f ,Q WKH WZR H[WHQGHG H[DPSOHV LQ FKDSWHU WZR DERYH SS f ZH DOVR ILQG GHLFWLFV KDYLQJ WKLV IXQFWLRQ 6XFK GHLFWLFV PDUN WKH HQGV RI WKHPDWLFDOO\ VHOIFRQWDLQHG XQLWV 7KH WKLUG DQG IRXUWK VWUXFWXUHV ZH ZLOO H[DPLQH LGHQWLI\LQJ VHQn WHQFHV DQG SHDN VHQWHQFHV IUHTXHQWO\ GLVSOD\ WKLV VXPPDUL]LQJ IXQFWLRQ

PAGE 142

%XW WKH\ PD\ DOVR SHUIRUP DQRWKHU FRPPRQ IXQFWLRQ RI GHLFWLFV f§ WR VHUYH DV D EULGJH IURP RQH VHQWHQFH RU SRUWLRQ RI GLVFRXUVH WR DQRWKHU $ GHLFWLF PD\ EH WKH EULGJH EHWZHHQ LQIRUPDWLRQ HDUOLHU LQ WKH GLVFRXUVH DQG DQ HODERUDWLRQ DQ LGHQWLILFDWLRQ D SDUDSKUDVH RU D UHSHWLWLRQ RI WKLV LQIRUPDWLRQ ,Q WKH H[DPSOHV EHORZ GHLFWLFV VHUYH DV D EULGJH WR D UHSHWLWLRQ LQ f DQG DQ HODERUDWLRQ LQ f f :HOO DV D FRPPXQLW\ WKLQN LWnV D LWnV D JRRG FRPPXQLW\ WR OLYH LQ WR UDLVH \RXU FKLOGUHQ LQ :HOO GRQnW NQRZ 7KH FKXUFKHV WKH VFKRROV HYHU\WKLQJ WKLQN LWnV MXVW D GRQnW NQRZ OLNH LW WKLQN LWnV WKDWnV ZK\ WKLQN LWnV D JRRG FRPPXQLW\ LV EHFDXVH OLNH LW DQG GRQnW NQRZ 9,f§f f LI \RXnUH QRW GRLQJ VRPHWKLQJ \RX KDYHQnW KDG DQ\ EXVLQHVV IRU D ORQJ WLPH \RX NQRZ VR WKHUHnV WKHUHnV QHYHU UHDOO\ QHYHU UHDOO\ WKDW PXFK WLPH EXW XK ZH HQMR\ LW DQG XK LW JLYHV XV D OLYLQJ DQG XK JXHVV WKDWnV DOO ZH FDQ H[SHFW RXW RI OLIH LV D OLYLQJ 9,f $ WKLUG EDVLF RI GHLFWLFV LQ RXU FRUSXV RI H[SRVLWLRQV LV WR PDLQWDLQ D OHYHO RI WHQVLRQ LQ WKH VWUHDP RI GLVFRXUVH 0RVW RIWHQ WKLV LV GRQH E\ D VSHDNHUnV XVH RI WKH GHLFWLF WKDW ZKHQ DW OHDVW LQ ZULWWHQ (QJOLVK LW ZRXOG EH XVHG 7KH WHQGHQF\ IRU VSHDNHUV WR XVH WKDW D GHYLFH ZKLFK LV PRUH G\QDPLF WKDQ LW E\ YLUWXH RI LWV SRLQWLQJ IXQFWLRQ LV TXLWH ZLGHVSUHDG ,Q PDQ\ OHIW GLVORFDWLRQV LQ RXU FRUSXV RI WKH f ZH ILQG D GHLFWLF XVXDOO\ WKDW VRPHn WLPHV WKRVHf UDWKHU WKDQ WKH WKLUG SHUVRQ SURQRXQ DV WKH FRS\ RI WKH GLVORFDWHG 13 7ZR H[DPSOHV IROORZ f 7KDW ROG FRQFUHWH EORFN WKHUH WKDW ZDV P\ JDUDJH 9f f 7R JR WR 0RUULVWRZQ WR EX\ D SDLU RI VRFNV WKDW ZDV NLQG RI DJJUDYDWLQJ ;f ,Q PDQ\ H[WUDSRVLWLRQV LQ RXU FRUSXV WKDW DSSHDUV DV WKH ILOOHU VXEMHFW UDWKHU WKDQ LW DV LQ

PAGE 143

f$QG \RX NQRZ WKDW PDNHV \RX IHHO DZIXO JRRG IRU D PDQ WR EH WKDW QLFH WR \RX \RX NQRZ ;f f :H KDG WR PHHW D EXV VR WKDW ZDV VRUW RI LQFRQYHQLHQW WR JHW WR VFKRRO \RX NQRZ 2,,f 7KHUH DUH LQVWDQFHV RI H[WUDSRVLWLRQ ZLWK WKDW LQ WKH GDWD DERXW KDOI DV PDQ\ DV ZLWK LW :H ZLOO H[DPLQH PRUH FORVHO\ WKLV XVH RI D GHLFWLF ODWHU LQ WKH FKDSWHU 7KHUH DUH FRXQWOHVV DGGLWLRQDO LQVWDQFHV LQ WKH GDWD RI WKH HPSOR\PHQW RI WKDWDV LQ EHORZ f 7DNH LW XS ZLWK \RXU LPPHGLDWH VXSHUYLVRU RU WDNH LW XS ZLWK \RXU GHSDUWPHQW KHDG 7KDWnV WKH VDPH ZD\ ZLWK FRPSODLQWV ZLWKLQ WKH FLW\ f f 7KDWnV EHHQ WHQ HOHYHQ HOHYHQ WR WZHOYH \HDUV DJR QRZ WKDW WKDW ZDV GRQH ,f f ,W WRRN DERXW WKDW WRRN DERXW WKUHH GD\V WR JHW WKH SRZHU EDFN ;f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fLW LV XVHG ,W VHHPV SUREDEOH WKDW LW XQGHU QRUPDO FLUFXPVWDQFHV FDQQRW FDUU\ VWUHVV ,Q WKH QH[W WKUHH VHFWLRQV ZH H[DPLQH WKH IRUP DQG QDWXUH RI OHIW GLVORFDWLRQV ZLWK WKDW H[WUDSRVLWLRQV ZLWK WKDW DQG LGHQWLI\LQJ

PAGE 144

VHQWHQFHV 7KHQ WKH IRXUWK VWUXFWXUH PHQWLRQHG HDUOLHU SHDN VHQWHQFHV LV H[DPLQHG LQ OLJKW RI /RQJDFUHnV LGHDV RQ WKH SHDN RI H[SRVLWRU\ GLVFRXUVHVSDUDJUDSKV 7KH IRUP DQG HVSHFLDOO\ WKH GLVWULEXWLRQ RI SHDN VHQWHQFHV LQ H[SRVLWLRQV LV VWXGLHG $W WKH HQG RI WKH FKDSWHU LV D VKRUW GLVFXVVLRQ RI PLQRU VXPPDU\ GHYLFHV /HIW 'LVORFDWLRQV ZLWK 'HLFWLFV $V QRWHG DERYH ZH ILQG VHYHQW\ IRXU LQVWDQFHV LQ RXU GDWD RI GHLFWLFV FRS\LQJ OHIW GLVORFDWHG 13V UDWKHU WKDQ SURQRXQV 7KLV UHSn UHVHQWV SHUFHQW RI WKH WRWDO OHIW GLVORFDWLRQV EXW PRUH LPSRUn WDQWO\ DSSUR[LPDWHO\ RQHWKLUG RI DOO SRWHQWLDO FDVHV 7KDW LV DERXW RI WKH GLVORFDWHG 13V LQ WKH GDWD DUH LQDQLPDWH $ FORVH ORRN DW WKH GDWD UHYHDOV OHIW GLVORFDWLRQV IRU ZKLFK GHLFWLFV DUH WKH RQO\ RU DW OHDVW WKH SUHIHUUHG FRS\ 7KHVH VHHP WR LQGLFDWH WKDW D VSHDNHU GRHV QRW DOZD\V KDYH WKH RSWLRQ RI XVLQJ HLWKHU WKH VWUHVVHG GHLFWLF RU WKH XQVWUHVVHG SURQRXQ 2QH VXFK NLQG LV WKH OHIW GLVORFDWLRQ RI DQ 13 IURP DQ LGHQWLn I\LQJ VHQWHQFH LQVWDQFHV RI WKLVf DV LQ DQG f %XW QRZ LQ WKDW HQFORVXUH WKDW ZDV ZKHUH WKH UDLOURDG VWDWLRQ ZDV 9,f f 7KUHVKLQJ IORRUV WKDWnV ZKDW WKH\ KDG ,,f :KHQ D VXERUGLQDWH FODXVH LV GLVORFDWHG DV LQ DQG WKH GHLFWLF VHHPV WR EH WKH SUHIHUUHG FRS\ f 7R JR WR 0RUULVWRZQ WR EX\ D SDLU RI VRFNV WKDW ZDV NLQG RI DJJUDYDWLQJ ;f f %XW WR WXUQ KLJK EH UHDO ZDUP DQG WKHQ WXUQ FROG WKDW KXUWV ;f

PAGE 145

,Q D QXPEHU RI IXUWKHU LQVWDQFHV WKH XVH RI LW WR FRS\ WKH GLVn ORFDWHG 13 VHHPV FRPSOHWHO\ XQDFFHSWDEOH DV LQ DQG f &ODVVLFDO PXVLF ZH SOD\HG D OLWWOH RI WKDW ZKHQ ;,f f D FRPPHUFLDO EOHQGHG ZKLVNH\ RU D .HQWXFN\ ERXUERQ VRPHWKLQJ OLNH WKDW ZRXOG RQ RQ WKH ZKROH ZRXOG EH HLWKHU HLJKW\ WR f ,Q PRVW LQVWDQFHV RI OHIW GLVORFDWLRQV ZLWK GHLFWLFV DV LQ DQG EHORZ WKH VSHDNHU KDV REYLRXVO\ FKRVHQ WKH GHLFWLF IRU LWV PRUH IRUFHIXO HPSKDWLF TXDOLW\ f $QG RI FRXUVH WKH KRXVLQJ SURMHFW WKH\ SXW WKDW GRZQ WKHUH 9f f 7KH ROG $WFKOH\ KRXVH QRZ \RX VDZ WKDW GRZQ DW /HDGYDOH 9f 7KH OHIW GLVORFDWLRQV ZLWK GHLFWLFV LQ RXU FRUSXV UHSUHVHQW WKH XVH RI WZR FRKHVLYH GHYLFHV WR LQWURGXFH WKHPHV 7KH GHLFWLF HQKDQFHV WKH HIIHFW RI WKH OHIW GLVORFDWLRQ ([WUDSRVLWLRQV ZLWK 'HLFWLFV ,Q WKH XVXDO WUDQVIRUPDWLRQDO WUHDWPHQW RI D VHQWHQFH LQYROYLQJ H[WUDSRVLWLRQ D FODXVDO VXEMHFW KDV EHHQ PRYHG EH\RQG WKH SUHGLFDWH DQG UHSODFHG E\ LW DV LQ f ,W LV SRVVLEOH WKDW WKLV VHQWHQFH ORRNV IDPLOLDU ZKLFK LV WKH WUDQVIRUPHG YHUVLRQ RI f 7KDW WKLV VHQWHQFH ORRNV IDPLOLDU LV SRVVLEOH ,Q RXU GDWD ZH ILQG WKLUW\ IRXU LQVWDQFHV RI H[WUDSRVLWLRQV RI FODXVHV LQ ZKLFK WKDW LV XVHG UDWKHU WKDQ LW DV WKH ILOOHU VXEMHFW RI WKH WUDQVIRUPHG VHQWHQFH 7KHUH DUH DERXW WZLFH DV PDQ\ LWH[WUDSRVLWLRQV LQ WKH GDWD ([DPSOHV RI H[WUDSRVLWLRQ ZLWK WKDW DUH

PAGE 146

f $QG \RX NQRZ WKDW PDNHV \RX IHHO YHU\ JRRG WR VHH D \RXQJ PDQ WXUQ RYHU D QHZ OHDI ,9,f f 7KH RQO\ ZD\ ,nG YRWH IRU 5D\ %ODQWRQ LV ZKHWKHU LI WKH\nV YRWLQJ IRU KLP WR OHDYH WKH FRXQWU\ DQG WKDWnV DERXW WKH VDPH ZD\ ZLWK WKH RWKHU 'HPRFUDWV 9,,,f f 7KDWnV EHHQ D TXHVWLRQ WKLQN LQ D ORW RI SHRSOHnV PLQGV ZKHWKHU LW ZRXOG EH IHDVLEOH WR EXLOG RQH KHUH RU QRW ;f ,Q WKHVH LQVWDQFHV WKH GHLFWLF LV FDWDSKRULF RU H[RSKRULF ,W QHLWKHU UHIHUV RU SRLQWV EDFNZDUG LQ WKH GLVFRXUVH DV WKDW XVXDOO\ GRHV 7KLV FDWDSKRULF QDWXUH RI GHLFWLFV LQ VXFK VHQWHQFHV LV PRUH FOHDUO\ VHHQ LQ ILYH RI WKH H[WUDSRVLWLRQV DV LQ DQG EHORZ f 7KDW ZRXOG FRVW WRR PXFK PRQH\ WR FOHDQ WKH OLQHV DQG WKLQJV OLNH WKDW ,,f f 7KDWnV NLQG RI D WUDGLWLRQDO WKLQJ IRU XV MXVW WR JR XS WKHUH DQG KDYH D ELJ GLQQHU 9f LQ ZKLFK ZH KDYH D SDXVH UHSUHVHQWHG E\ WKH FRPPDVf EHIRUH WKH H[WUDSRVHG FODXVH $OWKRXJK VXFK VHQWHQFHV DUH VRPHWLPHV VLPSO\ WHUPHG ULJKW GLVORFDWLRQV RU DIWHUWKRXJKW FRQVWUXFWLRQV ZH FDQ XQGHUVWDQG WKHP E\ FRQVLGHULQJ WKHLU GLVFRXUVH FRQWH[WV 7KH GHLFn WLFV LQ VXFK VHQWHQFHV DUH QRW DQDSKRULF 7KH\ SRLQW WR D VLWXDWLRQ RXWVLGH WKH VWUHDP RI GLVFRXUVH :KHQ WKH VSHDNHU UHDOL]HV KHVKH PXVW SURYLGH WKH LQIRUPDWLRQ WR ZKLFK WKH\ EURDGO\ UHIHU KHVKH DWWDFKHV WKH LQIRUPDWLRQ DW WKH HQG RI WKH VHQWHQFH DIWHU D VOLJKW SDXVH 5LJKW GLVORFDWLRQ LV D NLQG RI DSSRVLWLRQ DQG UHSUHVHQWV D VSHDNHUnV DGGLWLRQ RI QHZ LQIRUPDWLRQ WR D GLVFRXUVH FRQWH[W ,W LV D ZLGHVSUHDG VWUDWHJ\ IRXQG LQ RXU FRUSXV HVSHFLDOO\ ZLWK VWUXFWXUHV KDYLQJ GHLFWLFV ,Q WKH QH[W VHFWLRQ ZH H[DPLQH ULJKW GLVORFDWLRQ ZLWK LGHQWLI\LQJ VHQWHQFHV

PAGE 147

$Q H[WUDSRVLWLRQ WKHQ LV D VWUXFWXUH ZLWK LQIRUPDWLRQ VKLIWHG WR WKH HQG RI D VHQWHQFH :KHQ D VSHDNHU XVHV WKDW UDWKHU WKDQ LW LQ DQ H[WUDSRVLWLRQ KHVKH H[SOLFLWO\ SRLQWV IRUZDUG WR WKLV LQIRUn PDWLRQ $Q HVSHFLDOO\ VWURQJ FDWDSKRULF HIIHFW RFFXUV LQ WKH RQH H[WUDSRVLWLRQ LQ RXU GDWD ZLWK WKLV f7KLV GRQnW VRXQG IHDVLEOH WKDW WKH\ ZRXOG EH IURP DOO DUHDV RI WKH FRXQWU\ f ,GHQWLI\LQJ &ODXVHV ZLWK 'HLFWLFV ,Q FKDSWHU WKUHH WKH LQIUHTXHQF\ RI LWFOHIWV WKUHH LQVWDQFHVf DQG :+FOHIWV IRXU LQVWDQFHVf ZDV SRLQWHG RXW 6XFK FRQVWUXFWLRQV VHHP WR EH PRUH ZLGHO\ HPSOR\HG LQ ZULWWHQ WKDQ LQ VSRNHQ (QJOLVK ,Q WKRVH VDPH VHOHFWHG H[SRVLWLRQV LQ WKH :KLWH 3LQH FRUSXV ZKLFK ZHUH VHDUFKHG IRU FOHIW FRQVWUXFWLRQV KRZHYHU ZH ILQG DQRWKHU NLQG RI FRQVWUXFWLRQ VXSHUILFLDOO\ VLPLODU WR FOHIWV 7KHUH DUH LQVWDQFHV RI WKLV FRQVWUXFWLRQ ZKLFK LV WHUPHG DIWHU +DOOLGD\ f DQDSKRULF LGHQWLI\LQJ FODXVHV 7KHLU IUHTXHQF\ VXEVWDQn WLDWHV +DOOLGD\nV VWDWHPHQW S f WKDW WKH\ DUH SUREDEO\ DW OHDVW DV IUHTXHQW LQ GLDORJXH DV FOHIWV DUH ,Q WKH IROORZLQJ WKUHH H[FHUSWV WKH LGHQWLI\LQJ FODXVHV DUH XQGHUOLQHG f 7KH\nUH SXWWLQJ LQ FDOO LW D GRQnW NQRZ ZKHWKHU WKLV LV WKH SURSHU WHUP WR XVH LWnV WKH WHUP XVH D EHHU MRLQW $QG WKDWnV ZKDW HYHU\ERG\ HOVH DURXQG KHUH VD\V ULJKW GRZQ RXU URDG GRZQ KHUH 9f f 7KH\ VHW LW XS RXW LQ WKH VKRSSLQJ FHQWHU WKHUH 7KH\ MXVW KDYH WKDW ZKROH WKLQJ URSHG RII DQG DQG WKDWnV ZKHUH WKH\ KDYH WKHLU ,,f f 6R PHDQ ZKDW PRUH FDQ \RX GR EXW ILJKW EDFN" :KHQ \RXnYH DOUHDG\ WXUQHG WKH RWKHU FKHHN WKHUHnV RQO\ RQH WKLQJ WR GR DQG WKDWnV ILJKW EDFN DQG HYHQ WKH %LEOHnOO WHOO \RX WR GR WKDW 6R WKDWnV WKDWnV ZKDW ZHnUH GRLQJ 9,,f

PAGE 148

,Q VXFK VHQWHQFHV WKH GHLFWLF LV DQDSKRULF H[FHSW LQ D VPDOO KDQGIXO RI FDVHV ZH GLVFXVV ODWHUf ,W SRLQWV EDFNZDUG LQ WKH GLVFRXUVH DQG LGHQWLILHV VRPHWKLQJ ZKLFK KDV JRQH EHIRUH ZLWK D FODXVH RI LQIRUPDWLRQ IROORZLQJ LW 7KH VRPHWKLQJ EHHU MRLQW VKRSSLQJ FHQWHU DQG ILJKW EDFNf XVXDOO\ EXW QRW DOZD\V DSSHDUV LQ WKH SUHFHGLQJ VHQWHQFH +DOOLGD\ f LQGLFDWHV WKH FRPPXQLFDWH HIIHFW RI DQDSKRULF LGHQWLI\LQJ VHQWHQFHV f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f ,I WKH LGHQWLILFDWLRQ LV QRW ZLWK DQ 13 DV LQ H[DPSOHV DERYH EXW ZLWK WKH HQWLUHW\ RI D IRUHJRLQJ EORFN RI GLVFRXUVH WKH HIIHFW LV RI D VXPPLQJ XS DQG W\LQJ WRJHWKHU RI WKH EORFN 6KRZLQJ WKLV LV WKH IROORZLQJ H[WHQGHG H[FHUSW f )LHOGZRUNHU :KDWnV D IXQHUDO OLNH LQ D VPDOO WRZQ ZKHUH HYHU\ERG\ NQRZV HYHU\ERG\" ,QIRUPDQW WKLQN LWnV PRUH LPSRUWDQW WR WKH SHRSOH
PAGE 149

LWnV QRW DV LWnV QRW UHDOO\ \RX WKDWnV FRPLQJ ,WnV WKDW LQYLWDWLRQ WKLQN LWnV XK PRUH LPSRUWDQW DQG LW KHOSV SHRSOH DURXQG KHUH PRUH WKDQ LW ZRXOG D \RX NQRZ LQ RWKHU SODFHV EHFDXVH WKHQ ZHnUH ZHnUH FORVHU DQG D ORW RI SHRSOH IHHO WKH ORVV
PAGE 150

DV WKRVH H[WUDSRVLWLRQV GLVFXVVHG DERYH RQ SDJH GR ,Q WKHVH FDVHV WKH GHLFWLF SRLQWV IRUZDUG WR WKH LQIRUPDWLRQ ZKLFK KDV QRW EHHQ SUHYLRXVO\ PHQWLRQHG E\ D VSHDNHU DV LQ f 7KH JLUOV DUH MXVW \RX NQRZ WKH\nUH WKH\nUH VR VWURQJ DQG \RX FDQ VHH WKHLU ZHDN SRLQWV EXW \RX FDQ VHH KRZ WKH\ RYHUFRPH WKHP DQG WKH\nUH RXWJRLQJ $QG JXHVV PD\EH WKDWnV WKH ZDY OLNH WR EH \RX NQRZ WR EH DEOH WR JHW RXW DQG WR EH VR ZRQnW EH VR QHUYRXV DQG HYHU\WKLQJ ;,f f ,WnV D IULHQGO\ WRZQ ,W UHDOO\ LV ,WnV VPDOO DQG \RX MXVW NLQG RI KDWH WR OHDYH LW \RX NQRZ UHDOO\ EXW ZDV VXUSULVHG GLGQnW UHDOO\ WKLQN WKDW WKDW PDQ\ SHRSOH VWD\ OLNH :KLWH 3LQH D ORW EXW GRQnW NQRZ LI ZDQW \RX NQRZ WR VWD\ KHUH IRU UHVW RI P\ OLIH RU ZKDWHYHU EXW D ORW RI WKHPnV JRWWHQ PDUULHG DQG WKH\nUH VWLOO OLYLQJ KHUH LQ :KLWH 3LQH DQG VR WKLQN WKDWnV WKH ELJJHVW UHDVRQ :KLWH 3LQHnV UHDOO\ JURZQ D ORW EHFDXVH DOO WKH \RX NQRZ WKH NLGV DUH JURZLQJ XS DQG HYHU\WKLQJ DQG WKH\nUH VWD\LQJ KHUH 9,,f ,Q WKH ILUVW H[DPSOH WR EH DEOH HYHU\WKLQJ LV DSSRVLWLYH WR WKH LGHQWLI\LQJ VHQWHQFH LQ WKH VHFRQG EHFDXVH KHUH LV :H SHUKDSV FDQQRW VD\ WKDW WKH GHLFWLFV LQ VXFK FRQWH[WV DUH RYHUn ZKHOPLQJO\ FDWDSKRULF EXW DOWKRXJK WKH\ GR ZHDNO\ SRLQW EDFNZDUG WKH\ GR QRW FOHDUO\ SRLQW WR DQ\ VSHFLILF SRUWLRQ RI WKH SUHFHGLQJ GLVFRXUVH DQG PRUH LPSRUWDQWO\ WKH GLVFRXUVH ZRXOG EH LQFRPSOHWH LQ WKHVH LQVWDQFHV ZLWKRXW WKH DSSRVLWLRQDO LQIRUPDWLRQ 7KH IRUFH RI WKHVH GHLFWLFV LV SUHGRPLQDQWO\ FDWDSKRULF 2Q WKH RWKHU KDQG ZH DOVR ILQG WKDW LGHQWLI\LQJ VHQWHQFHV ZLWK :+FODXVHV PD\ DOVR KDYH DSSRVLWLRQDO LQIRUPDWLRQ DWWDFKHG DIWHUZDUG DV LQ f $QG WKHQ FDPH EDFN WR 0RUULVWRZQ 0\ EURWKHULQODZ DQG VLVWHU RSHQHG D DQ RIILFH LQ 0RUULVWRZQ DQG VR FDPH GRZQ WR OLYH ZLWK WKHP DQG JR WR 0RUULVWRZQ %XVLQHVV 6FKRRO DQG

PAGE 151

WKHQ WKDWnV ZKHUH ZHW P\ KXVEDQG LQ 0RUULVWRZQ 9Of f 1RZ WKDWnV VRPHWKLQJ WKH\nYH GRQH VR PXFK KHUH KRXVLQJ GHYHORSPHQW 7KDWnV ZKDWnV WXUQHG :KLWH 3LQH DURXQG WKDW ORZUHQW KRXVLQJ GHYHORSPHQW DUHD DQG DQG XK DQG XK WKH DSDUWPHQW FRPSOH[HV f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nV GLVFXVVLRQ RI SHDN VHQWHQFHV WR ZKLFK ZH QRZ WXUQ 3HDN 6HQWHQFHV :H FRPH QRZ WR D NLQG RI VWUXFWXUH IRXQG LQ RXU FRUSXV ZKLFK KDV QRW EHHQ GHVFULEHG LQ WKH OLQJXLVWLF OLWHUDWXUH WR GDWH 7KLV VWUXFn WXUH ZLOO EH FDOOHG D SHDN VHQWHQFH DQG ILYH H[DPSOHV RI LW DUH EHORZ f 7KDWnV DQRWKHU WKLQJ ZH KDYH WKURXJK KHUHnV WKH $SSDODFKLDQ 7UDLO 9f f 7KDWnV DOO KHnV HYHU JRW GRQH LQ :DVKLQJWRQ LV SROLWLFV 9,f f %XW WKDW ZDV WKH UHDVRQ JDYH ZDV WKDW ZRXOG OLNH WR JR WR YRWH DQG JLYH DQ RSLQLRQ 9,f f 7KDWnV WKH EHVW ZD\ HYHU IRXQG WR WKLQN LV MXVW WR ZDON EDFN XS WKURXJK WKH ZRRGV RU VRPHWKLQJ OLNH WKDW 9,,f

PAGE 152

f 7KDWnV WKH ELJJHVW FKDQJH WKDWnV EHHQ PDGH VLQFH UHPHPEHU OLYLQJ RYHU KHUH LV WKDW VKRSSLQJ FHQWHU ;f 6XFK VHQWHQFHV DSSHDU WR EH IXVLRQV RI WZR LGHQWLI\LQJ FODXVHV ,Q IRU LQVWDQFH 7KDWnV DQRWKHU WKLQJ ZH KDYH WKURXJK KHUH DSSHDUV WR EH DQ DQDSKRULF LGHQWLI\LQJ FODXVH ZKLFK LV IXVHG ZLWK fDQRWKHU WKLQJ ZH KDYH WKURXJK KHUHnV WKH $SSDODFKLDQ 7UDLO %\ LWVHOI WKH ILUVW SDUW VHHPV WR EH DQDSKRULF WR VRPHWKLQJ SUHYLRXVO\ PHQWLRQHG &RPELQHG ZLWK WKH VHFRQG LW LV QRW FOHDUO\ DQDSKRULF RU FDWDSKRULF ,Q RXU FRUSXV WKHUH DUH ILIW\ LQVWDQFHV RI VXFK VHQWHQFHV LQ WKH H[SRVLWLRQV RI GLIIHUHQW VSHDNHUV )RUW\WKUHH EHJLQ ZLWK WKH GHLFWLF WKDW ILYH EHJLQ ZLWK WKLV DQG WZR EHJLQ ZLWK LW DQG ZLOO EH FRQVLGHUHG ZLWK WKH IRUW\HLJKW EHJLQQLQJ ZLWK GHLFWLFV $Q H[DPSOH ZLWK WKLV DQG RQH ZLWK LW IROORZ f 7KLV LV ZKDW GR QRW OLNH DERXW WKH ORZUHQW KRXVLQJ LQ :KLWH 3LQH LV WKDW WKH SHRSOH LQ :KLWH 3LQH UHDOO\ KDYH QR VD\ RYHU LW ZKDWVRHYHU ;f f ,WnV WKH ELJJHVW WKLQJ WKDW HYHU KLW FORVH WR WKH WRZQ ZDV WKH WUXFN VWRS 9,,,f $OWKRXJK VXFK VHQWHQFHV GR VHUYH WR LGHQWLI\ RQH SDUW RI D GLVFRXUVH ZLWK DQRWKHU OLNH WKH DQDSKRULF LGHQWLI\LQJ VHQWHQFHV ZH UHIHU WR WKHP DV SHDN VHQWHQFHV EHFDXVH WKH\ DUH HPSOR\HG E\ D VSHDNHU WR LQGLn FDWH D SHDN RU FXOPLQDWLRQ LQ D GLVFRXUVH :H UHWXUQ WR WKLV SRLQW EHORZ ,Q WHQ RI WKH ILIW\ LQVWDQFHV D :+FODXVH IROORZV WKH LQWURn GXFLQJ GHLFWLF DV LQ DERYH VR WKDW WKHVH SHDN VHQWHQFHV DSSHDU WR EH IXVLRQV RI DQDSKRULF LGHQWLI\LQJ FODXVHV DQG :+FOHIWV ,Q DOO WKH UHPDLQLQJ IRUW\ LQVWDQFHV SHDN VHQWHQFHV DOVR UHSUHVHQW

PAGE 153

FRPELQDWLRQV RI ZHOONQRZQ SDWWHUQV 3HDN VHQWHQFHV DUH FOHDUO\ ZHOO IRUPHG IXVLRQV DQG DUH QRW IDXOW\ FRQVWUXFWLRQV ,W LV QRW DOWRJHWKHU FOHDU KRZHYHU KRZ WKH LQWHUQDO VWUXFWXUH RI VXFK VHQWHQFHV VKRXOG EH DQDO\]HG :KDW LV WKH VXEMHFW RI D VHQWHQFH VXFK DV 0RVW OLNHO\ LW DQG RWKHU SHDN VHQWHQFHV DUH EHVW YLHZHG DV KDYLQJ VHQWHQWLDO VXEMHFWV DQG EHLQJ UHSUHVHQWDEOH LQ VXFK D WUHHGLDJUDP DV f 83 93 %XW LI ZH ORRN DW D SHDN VHQWHQFH LQ LVRODWLRQ IURP LWV GLVFRXUVH FRQWH[W WKHUH LV QR UHDVRQ QRW WR SURSRVH D VWUXFWXUH OLNH f 9 XS ,6 ?D-P" LV X

PAGE 154

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n SKRULF" f )LHOGZRUNHU ,Q :KLWH 3LQH ZKDW GR \RX GR IRU D JRRG WLPH" ,QIRUPDQW :LWKRXW OHDYLQJ :KLWH 3LQH" :DWFK 79 0D\EH PD\EH ZDON EDFN \RX NQRZ OLNH RQH WLPH LWnV \RX NQRZ SHDFHIXO EDFN WKHUH LQ WKH EDUQ DQG OLNH XK OLNH VDLG LI \RXnUH VWDQGLQJ EDFN WKHUH E\ \RXUVHOI LQ WKH EDUQ OLNH RQH WLPH ZKHQ ZHQW EDFN \RQGHU DQG \RX KDG \RX NQRZ LWnV LWnV QRW UHDOO\ D VHDW UHDOO\ ,WnV SDUW RI WKH PDQJHU WKDW FRPHV RXW DQG LWnV D KDUG SRVLWLRQ WR JHW LQ FDXVH \RX JRW WR VLW ZLWK \RXU OHJV ZD\ XS LQ WKH DLU EXW .DWK\ ZDV XS KHUH ZDWFKLQJ 79 RU GRLQJ VRPHWKLQJ DQG XK WDONLQJ WR 0RPPD JXHVV DQG DQG ZHQW EDFN WKHUH WKDW GD\
PAGE 155

WKDW %XW IRU D JRRG WLPH DQG QRW OHDYH :KLWH 3LQH LWnV HLWKHU ULGH DURXQG RU ZDWFK 79 8VXDOO\ ZDWFK 79 EHFDXVH WKH\ D ORW RI JRRG VWXII EHHQ FRPLQJ RQ 79 KHUH ODWHO\ 9,,f 2U LV LW DQDSKRULF RU FDWDSKRULF LQ WKH FRQWH[W RI WKH IROORZLQJ H[SRVLWLRQ" f )LHOGZRUNHU :KDW ZRXOG \RX VD\ KDYH EHHQ WKH PRVW VLJQLIn LFDQW FKDQJHV \RXnYH VHHQ LQ WKH WRZQ LQ \RXU IHZ \HDUV KHUH" ,QIRUPDQW 0RVW VLJQILFLDQW FKDQJH ,nYH VHHQ LV WKH WKH LQWUXVLRQ RU WKH FRPLQJ LQ RU RI QHZ SHRSOH :KLWH 3LQH LV QR ORQJHU WKH VDPH WRZQ LW ZDV HLJKW DQG D KDOI \HDUV DJR EHFDXVH RI LWV JURZWK XK EHFDXVH RI SHRSOH ZLWK GLIIHUHQW EDFNJURXQGV KDYLQJ PRYHG LQWR RXU WRZQ XKKXKf 8K WKHUHn IRUH LW KDV FKDQJHG WKH FRPSOH[ RI RXU WRZQ WUHPHQGRXVO\ 8K WKLQN WKLV LV WKH JUHDWHVW FKDQJH WKDW KDV KDSSHQHG LQ RXU WRZQ LV WR KDYH QHZ SHRSOH FRPLQJ LQ ZLWK QHZ EORRG QHZ WKRXJKWV QHZ LGHDV QHZ DSSURDFK WR WKLQJV ;f 2Q WKH RQH KDQG WKH GHLFWLFV SRLQW EDFNZDUG LQ WKH GLVFRXUVH RQ WKH RWKHU WKH\ SRLQW IRUZDUG WR LQIRUPDWLRQ FRPLQJ DW WKH HQG RI WKH VHQWHQFH ZKLFK VXPV XS WKH HQWLUH SUHFHGLQJ GLVFRXUVH ,Q D VHQVH ZH PD\ FDOO VXFK GHLFWLFV DPELSKRULF SRLQWLQJ LQ ERWK GLUHFWLRQV 3HDN VHQWHQFHV UHVHPEOH LGHQWLI\LQJ VHQWHQFHV ZLWK ULJKW GLVn ORFDWLRQ DV LQ DQG DERYHf %XW WKH GHLFWLFV LQ SHDN VHQWHQFHV DUH PRUH FOHDUO\ EULGJHV EHWZHHQ IRUHJRLQJ DQG IROORZLQJ SRUWLRQV RI GLVFRXUVH 1RUPDOO\ WKH LQLWLDO GHLFWLF LQ SHDN VHQWHQFHV DOWKRXJK D VSHDNHU UHWDLQV WKH RSWLRQ IRU VXFK VWUHVVLQJ LQ FDVHV RI HPSKDVLVf GRHV QRW UHFHLYH WKH IRFDO VWUHVV ZH ILQG ZLWK GHLFWLFV LQ DQDSKRULF LGHQWLI\LQJ VHQWHQFHV LQGLFDWLQJ WKDW SHDN VHQWHQFHV DUH RQ WKH ZKROH PRUH IRUZDUG ORRNLQJ 7KXV WKH\ PRUH VWURQJO\ WHOO D KHDUHU WKDW LPSRUWDQW LQIRUPDWLRQ LV FRPLQJ XS $Q H[DPLQDWLRQ RI DOO ILIW\ SHDN VHQWHQFHV VKRZV WKDW DOO RI WKHP SRLQW ERWK EDFNZDUGV DQG IRUZDUGV ,Q VRPH LQVWDQFHV DV LQ EHORZ

PAGE 156

WKH DQDSKRULFLW\ SUHGRPLQDWHV LQ RWKHUV DV LQ WKH FDWDSKRULFLW\ FOHDUO\ LV PRUH SURPLQHQW f DQG WKLQN WKDW XK WKH PDLQ WKLQJ WKLQN LQ WKH FDQG\ SXOOLQJ WKDW ZH FRXUVH ZH OLNH WKH FDQG\ DQG WKDW ZDV D JRRG ZD\ WR KDYH LW EXW ZH OLNHG WKH IHOORZVKLS DQG WRJHWKHU RI DOO WKH \RXQJ SHRSOH 7KDW ZDV WKDW ZDV WKH PDLQ WKLQJ PHDQ WKDW ZH ORYHG WR JHW WRJHWKHU $QG VDLG OLNH WKLV VR PDQ\ ZHOO LQ IDFW WKDWnV ZKHUH PHW P\ KXVEDQG ZDV DW D FDQG\SXOOLQJ ,,` f FDQQRW SDVV ZHOO EUDWZXUVW LV P\ IDYRULWH WKRVH ODUJH ZKLWH VDXVDJH \RX NQRZ RQ KRW KDUG VRXU GRXJK EUHDG XK ZLWK K\DFLQWK YHU\ KRW PXVWDUG MXVW FDQnW SDVV RQH XS ZHQW ZLWK P\ IDWKHULQODZ XK RQ RQH WULS ZKLOH ZH ZDV WKHUH DQG ZH VWRSSHG IRU OXQFK ZK\ WKDWnV DOO FRXOG WKLQN DERXW ZDV JHWWLQJ PH VRPH SRWDWR VDODG DQG JHWWLQJ PH D FRXSOH RI EUDWZXUVW RQ EUHDG ,f ,Q WKH GLVFXVVLRQ RI LGHQWLILFDWLRQ VHQWHQFHV ZLWK ULJKW GLVORFDWLRQ DERYH SS f LW ZDV LQGLFDWHG WKDW WKRVH ZLWK :+FODXVHV WHQGHG WR KDYH LQLWLDO GHLFWLFV WKDW DUH DQDSKRULF DQG WKDW WKRVH ZLWKRXW VXFK FODXVHV WHQGHG WR KDYH FDWDSKRULF RQHV 1RWLFH WKDW WKH DQDn SKRULF GHLFWLF LQ DERYH LV IROORZHG E\ D :+FODXVH DQG WKDW WKH FDWDSKRULF RQH LQ LV QRW 2I WKH WHQ LQVWDQFHV RI SHDN VHQWHQFHV ZLWK :+FODXVHV LQ WKH GDWD RQO\ WKUHH DUH QRW FOHDUO\ DQDSKRULF 7KH SHDN VHQWHQFHV ZLWKRXW VXFK FODXVHV KDYH GHLFWLFV ZKLFK DUH PRUH FOHDUO\ DPELSKRULF 7KH VHYHQ VWURQJO\ DQDSKRULF VHQWHQFHV OLNH DERYH DQG EHORZ UHSHDW LQIRUPDWLRQ YHUEDWLP DV GRHV DERYH f :HOO DV D FRPPXQLW\ WKLQN LWnV D LWnV D JRRG FRPPXQLW\ WR OLYH LQ WR UDLVH \RXU FKLOGUHQ LQ :HOO GRQnW NQRZ 7KH FKXUFKHV WKH VFKRROV HYHU\WKLQJ WKLQN LWnV MXVW D GRQnW NQRZ OLNH LW WKLQN LWnV WKDWnV ZK\ WKLQN LWnV D JRRG FRPPXQLWY LV EHFDXVH OLNH LW DQG GRQnW NQRZ 9,f§f 7KH IRUW\ UHPDLQLQJ LQVWDQFHV KDYH GHLFWLFV ZKLFK DUH FDWDSKRULF WR YDU\LQJ GHJUHHV QRQH RI WKHP LQYROYH D UHSHWLWLRQ DV LQ 7KH

PAGE 157

LQLWLDO GHLFWLF VHHPV HVSHFLDOO\ FDWDSKRULF ZKHQ LW LV WKLV DV LQ f :H KDYH D YROXQWHHU ILUH GHSDUWPHQW ZKLFK PLJKW VD\ LV RXWVWDQGLQJ ,WnV WHUULEO\ SURILFLHQW ,WnV YHU\ YHU\ YHU\ JRRG KPPf $QG ZHnYH LPSURYHG RQ WKDW DV WLPHV FRPH DORQJ XKKXKf 8K ZH KDYH WZR WUXFNV :H KDYH D ODUJH HQJLQH +DYH D VPDOO EUXVKILUH EUXVKILUH ILJKWHU XK WR KDQGOH DQ\ VPDOO MREV DQG ZH QRZ DV RI WKLV \HDU KDYH JRRG FRPPXQLFDWLRQ 8K WKH\ KDYH SRUWDEOH UDGLR XQLWV XK YROXQWHHU ILUH GHSDUWPHQW KPPf DQG DOO WLPHV 7KH\nUH RQ WKH MRE IURP VRPHZKHUH :H ZH KDYH TXLWH D IHZ ZLWKLQ WKH WRZQ LWVHOI WKDW WKDW KDYH WKHLU RZQ EXVLQHVV WKDW DUH FDSDEOH RI EHLQJ DEOH WR JR RQ WR JR RXW DW DQ\ WLPH KPPf 8K WKLV GRHVQnW VHHP WR PDWWHU DV IDU DV XK LQVXUn DQFH LV FRQFHUQHG 7KLV LV VRPHWKLQJ WKDWnV ERWKHUHG PH IRU D ORQJ WLPH LV WKDW ZHnUH LQ XK JUDGH WHQ LQ LQVXUDQFH DV IDU DV KRPHRZQHUV LV FRQFHUQHG f $OWKRXJK SHDN VHQWHQFHV DQG LGHQWLI\LQJ VHQWHQFHV KDYH EHHQ WUHDWHG VHSDUDWHO\ LQ WKLV FKDSWHU WKH\ DUH TXLWH VLPLODU LQ PDQ\ UHVSHFWV :KHQ ZH ORRN DW WKHLU GLVWULEXWLRQ LQ GLVFRXUVH ZH ZLOO VHH WKH\ DUH YHU\ FORVH $W WKH HQG RI FKDSWHU WKUHH ZH H[DPLQHG VWUXFWXUHV ZKLFK ZHUH WKH IXVLRQV RI WZR VWUXFWXUHV f§OHIW GLVORFDn WLRQ RI DQ 13 DQG H[LVWHQWLDOL]DWLRQ RI DQ 13 f§ WKDW KDG EHHQ YLHZHG DV GLVWLQFW XQWLO WKDW SRLQW ,Q WKH VDPH ZD\ DV WKHPDWLF GHYLFHV DUH QRW GLVFUHHW IURP RQH DQRWKHU ZH ILQG D FRQWLQXXP RI VWUXFWXUHV LQYROYLQJ GHLFWLFV 3HDN VHQWHQFHV DUH LGHQWLFDO WR DQDSKRULF LGHQWLn I\LQJ VHQWHQFHV H[FHSW WKDW WKH ODWWHU KDYH D SDXVH ZKHUH WKH IRUPHU KDYH D FRSXODWLYH YHUE LVf DQG WKDW WKH ODWWHU KDYH D IRFDO VWUHVV RQ WKH LQLWLDO GHLFWLF ZKHUHDV WKH IRUPHU PD\ RU PD\ QRW KDYH ,Q DGGLWLRQ DQDSKRULF LGHQWLI\LQJ FODXVHV ZLWK ULJKW GLVORFDWLRQ VXFK DV LQ DERYH DUH YHU\ VLPLODU WR WKDWH[WUDSRVLWLRQV DV LQ WKH ODWWHU DUH QHYHU DQDSKRULF DQG QHYHU LGHQWLI\ RQH SDUW RI D GLVFRXUVH ZLWK DQRWKHU

PAGE 158

9LHZHG LQ LVRODWLRQ LQVWDQFHV RI WKH WKUHH NLQGV RI GHLFWLFV WKRVH LQ SHDN VHQWHQFHV LQ DQDSKRULF LGHQWLI\LQJ FODXVHV DQG LQ H[WUDSRVLWLRQVf PD\ QRW WKHQ EH UHDGLO\ GLVWLQJXLVKDEOH ,W LV RQO\ ZKHQ ZH H[DPLQH WKHLU DQDSKRULFLW\ RU FDWDSKRULFLW\ LQ WKHLU GLVn FRXUVH FRQWH[W WKDW WKH\ FDQ EH GLVWLQJXLVKHG 7KH SHDN VHQWHQFHV H[DPSOHV DERYHf ZH KDYH ORRNHG DW LQ WKHLU GLVFRXUVH FRQWH[WV FRPH HLWKHU DW WKH HQG RU WRZDUGV WKH HQG RI D VSHDNHUnV H[SRVLWLRQ RI D SRLQW 0RUHRYHU WKH\ FOHDUO\ KDYH WKH HIIHFW RI VXPPLQJ XS DQG FXOPLQDWLQJ D IRUHJRLQJ SRUWLRQ RI GLVFRXUVH VRPHWLPHV RI FRQVLGHUDEOH OHQJWK DV LQ ZKHUH D WHHQDJH VSHDNHU H[SODLQV WKH EHVW ZD\ KH NQRZV WR JHW DZD\ DQG FOHDU KLV WKRXJKWV RU LQ ZKHUH D %DSWLVW PLQLVWHU H[SODLQV WKH RQH PRVW LPSRUWDQW FKDQJH KH KDV REVHUYHG LQ WKH WRZQ RI :KLWH 3LQH ,Q RQO\ RQH FDVH RI ILIW\ GRHV D SHDN VHQWHQFH FRPH DW WKH EHJLQQLQJ RI DQ LQIRUPDQWnV UHVSRQVH f )LHOGZRUNHU 7KH PRUH OLVWHQ WR GLVFR PXVLF WKH PRUH LW VHHPV WR PH LW DOO VRXQGV WKH VDPH ,QIRUPDQW ,W GRHV ,WnV JRW WKH VDPH EHDW VDPH ORXGQHVV 7KDWnV ZKDW D ORW RI SHRSOH GR WRR LV JR WR SODFHV OLNH )ODQDJDQnV DQG 8QFOH 6DPnV DQG GDQFH ,Q WKLV H[DPSOH WKDW LV QRW DQDSKRULF DQG WKH SHDN VHQWHQFH GRHV QRW VXP XS DQ\ SRUWLRQ RI IRUHJRLQJ FRQYHUVDWLRQ ,W PD\ EH WKDW LW VXPV XS LQIRUPDWLRQ LPSOLFLW LQ WKH FRQYHUVDWLRQ RU LQ WKH PLQG RI WKH LQIRUPDQW EXW LW FOHDUO\ VXPV XS ZKDW WKH LQIRUPDQW KDV WR VD\ RQ WKH VXEMHFW RI HQWHUWDLQPHQW ,W GRHV QRW UHDOO\ FRQVWLWXWH D FRXQWHUH[DPn SOH WR RXU JHQHUDOL]DWLRQ WKDW SHDN VHQWHQFHV IROORZ DQG VXP XS EORFNV RI GLVFRXUVH

PAGE 159

7KDW ZH VKRXOG ILQG VWUXFWXUHV LQ GLVFRXUVH OLNH SHDN VHQWHQFHV ZKLFK PDUN WKH SHDN RI D VSHDNHUnV UHODWLRQ RI LQIRUPDWLRQ WR D KHDUHU LV SRLQWHG RXW E\ /RQJDFUH DQG /HYLQVRKQ f 0RUH WKDQ D GHFDGH DJR LQ KLV 3KLOLSSLQH VWXG\ /RQJDFUH LQGLFDWHG WKDW SDUDJUDSKV PD\ RSWLRQDOO\ KDYH XQLWV FDOOHG SHDNV DURXQG ZKLFK DQ HQWLUH SDUDJUDSK LV IRFXVHG +LV YLHZV RQ WKH QDWXUH RI SHDN KDYH HYROYHG VRPHZKDW VLQFH EXW KLV ODWHVW FRPPHQWV RQ SHDN /RQJDFUH DQG /HYLQVRKQ f DSSO\ SHUIHFWO\ WR WKH IXQFWLRQ LQ GLVFRXUVH RI ZKDW ZH KDYH EHHQ FDOOLQJ SHDN VHQWHQFHV ,Q KLV ZRUN /RQJDFUH GLG QRW GLVWLQJXLVK SHDN IURP WH[W WKH RQH REOLJDWRU\ XQLW LQ WKH JUDPPDU RI DQ\ H[SODQDWRU\ SDUDn JUDSKf &RQVLGHULQJ SHDN DV RQO\ RQH DVSHFW RI WH[W KH VWDWHV S f WKDW WH[W LV WKH 3($. JUDPPDWLFDOO\ DQG OH[LFDOO\ RI LWV SDUDJUDSK ,Q /RQJDFUH KH FRPHV WR YLHZ SHDN DV DQ RSWLRQDO XQLW RI H[SRVLWLRQ EXW EHOLHYHV WKDW PXFK JRRG H[SRVLWLRQ LQ H[KLELWLQJ D WHQVLRQ RU SURJUHVV WRZDUG D FOHDU H[SRVLQJ RI D VXEMHFW LV FKDUDFWHUL]HG E\ KDYLQJ D SHDN +H YLHZV S f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n WXUH 3HDN LQ H[SRVLWRU\ DQG KRUWDWRU\ GLVFRXUVH UKHWRULFDO

PAGE 160

8QGHUOLQLQJ LV SUREDEO\ WKH PRVW IUHTXHQWO\ XVHG f $FFRUGLQJ WR /RQJDFUH f UKHWRULFDO XQGHUOLQLQJ FRPSULVHV SDUDOOHOLVP SDUDSKUDVH DQG WDXWRORJLHV RI YDULRXV VRUWV XVHG E\ DQ DXWKRU WR HQVXUH WKDW D UHDGHU RU KHDUHU GRHV QRW PLVV D SRLQWf 3HDN WKHQ FRPHV QHDU WKH HQG RI DQG UHSUHVHQWV D NLQG RI FOLPD[ WR DQ H[SRVLWRU\ GLVFRXUVH RU SDUDJUDSK ,Q /RQJDFUH DQG /HYLQVRKQ f ZH ILQG /RQJDFUHnV PRVW UHFHQW YLHZV RQ SHDN $JDLQ KH LQGLFDWHV WKDW RQO\ GLVFRXUVHV ZKLFK KDYH WHQVLRQ KDYH SHDNV ,I D GLVFRXUVH LV SOXV WHQVLRQ WKHUH ZLOO PRVW OLNHO\ EH VRPH NLQG RI FOLPD[ RI GHYHORSPHQW VRPH PDUNHG VXUIDFH VWUXFWXUH SHDN )RU GLVFRXUVHV WKDW DUH QRW QDUUDWLYH EXW VWLOO KDYH D FOLPD[ RI GHYHORSPHQW WKH SHDN PD\ PDUN WDUJHW SURn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

PAGE 161

QRW DOZD\V HPSOR\ D FRKHVLYH GHYLFH ZKLFK PDNHV D VSHDNHUnV PHVVDJH VWLFN WRJHWKHU WR VLJQDO D SHDN EXW KHVKH VRPHWLPHV GRHV

PAGE 162

&+$37(5 9 &21-81&7,216 $1' ,1752'8&(56 ,Q WKLV FKDSWHU FRQMXQFWLRQV DQG LQWURGXFHUV DUH WUHDWHG WRJHWKHU ,Q RXU FRUSXV FRQMXQFWLRQV YHU\ RIWHQ LQWURGXFH VHQWHQFHV SDUDJUDSKV DQG HYHQ HQWLUH H[SRVLWLRQV 7KLV LV FRQVLVWHQW ZLWK ZKDW /RQJDFUH DQG /HYLQVRKQ SRLQW RXW $V LQWURGXFHUV RI VHQWHQFHV FRQMXQFWLRQV VHUYH WR ILW WKH VHQWHQFH LQWR SDUDJUDSK FRQWH[W 7KH\ DOVR VHUYH WR ILW WKH SDUDJUDSK LQWR GLVFRXUVH FRQWH[W f 6RPH FRQMXQFWLRQV HVSHFLDOO\ DQG EXW WKHQ DQG QRZf VR IUHTXHQWO\ EHJLQ VHQWHQFHV LQ RXU RUDO H[SRVLWLRQV WKDW FOHDUO\ RQH RI WKH SULPDU\ IXQFWLRQV RI VXFK ZRUGV LV WR PDUN VHQWHQFHV )UHTXHQWO\ FRQMXQFWLRQV WKXV DFFRPSDQ\ WKH SDXVHV ZKLFK GLYLGH VHQWHQFHV ,Q WKH IROORZLQJ H[DPSOH H[SRVLWLRQ WKH VHQWHQFHLQLWLDO FRQMXQFWLRQV DUH XQGHUOLQHG f )LHOGZRUNHU :KDW GR \RX WKLQN PRVW SHRSOH ZKR OLYH KHUH ZDQW WKH WRZQ WR EHFRPH" ,QIRUPDQW :HOO WKLQN HYHU\ERG\ ZDQWV XV WR KDYH WKH QHZ KRVSLWDO ZKLFK ZHnUH DERXW RQ WKH YHUJH RI JHWWLQJ WKLQN ZKLFK ZH UHDOO\ QHHG LV WKH QHZ KRVSLWDO $QG HYHU\ERG\ ZDQWV LW -XVW QRZ :KLWH 3LQHnV EXLOW XS D ORW RYHU WKH \HDUV 2I FRXUVH OLNH VD\ LWnV VWLOO D VPDOO WRZQ XKKXKf %XW MXVW RWKHU WKDQ WKDW ZHOO WKH\nV QRW UHDOO\ QR JUHDW FKDQJHV EHHQ WR PH WKH\nV QRW PHDQ XK WR RWKHU SHRSOH LW PLJKW VHHP GLIIHUHQW %XW WR PH LW MXVW VHHPV OLNH WKH VDPH WKH ZD\ LWnV DOZD\V EHHQ ;f ,Q DGGLWLRQ WR ILYH VHQWHQFHLQLWLDWLQJ FRQMXQFWLRQV KHUH ZH KDYH WZR LQVWDQFHV RI ZHOO DQG RQH RI RI FRXUVH RWKHU LQWURGXFHUV

PAGE 163

EHJLQQLQJ VHQWHQFHV &RQMXQFWLRQV DQG RWKHU LQWURGXFHUV DUH WKH VXUIDFH VWUXFWXUH FRKHVLYH GHYLFH ZKLFK FRQVWLWXWHV ZKDW D VSHDNHU XVHV WR VWLWFK WKH SDUWV RI D PHVVDJH WRJHWKHU LQWR D GLVFRXUVH $OWKRXJK WKH\ GR QRW E\ WKHPVHOYHV LQWURGXFH WKHPHV FRQMXQFn WLRQV DQG LQWURGXFHUV IUHTXHQWO\ EHJLQ SDUDJUDSKV DQG XVXDOO\ DFFRPSDQ\ OHIW GLVORFDWHG 13V ZKLFK LQWURGXFH SDUDJUDSK WKHPHV ,W LV VKRZQ LQ FKDSWHU WKUHH DERYH WKDW D VSHDNHU RIWHQ XVHV D FRQMXQFn WLRQ RU LQWURGXFHU WR VLJQDO D KHDUHU WKDW RQH WKHPH LV EHLQJ VXSHUn VHGHG E\ DQRWKHU ,Q WKLV FKDSWHU ZH H[DPLQH WKH FRQMXQFWLRQV DQG LQWURGXFHUV ZKLFK DFFRPSDQ\ WKH GLVORFDWHG 13V LQ WKH VHOHFWHG H[SRVLWLRQV XVHG LQ FKDSWHU WKUHH ,Q SDUWLFXODU ZH ORRN DW WKH LQWURGXFHU OLNH DQG VXJJHVW WKDW LW LV D VXESDUDJUDSKLQJ GHYLFH )RU WKH PRVW SDUW RXU DQDO\VLV LV VXJJHVWLYH UDWKHU WKDQ GHILQLWLYH %HFDXVH RI WKLV VWXG\nV OLPLWDWLRQV WKH IXQFWLRQV DQG GLVWULEXWLRQV RI FRQMXQFWLRQV DUH QRW \HW HQWLUHO\ VRUWHG RXW ,W KDV EHHQ ZLGHO\ SRLQWHG RXW LQ WKH OLWHUDWXUH WKDW SDUDn JUDSKV DQG GLVFRXUVHV FKDUDFWHULVWLFDOO\ EHJLQ ZLWK FHUWDLQ LQWURn GXFHUV LQ (QJOLVK DQG LQ RWKHU ODQJXDJHV DV ZHOO 5HJDUGLQJ RUDO SDUDJUDSKV 9DQ 'LMN VD\V $ QHZ SDUDJUDSK WKXV LQGLFDWHV VXEfWRSLF FKDQJH ,Q VSRNHQ ODQJXDJH ZH KDYH SDXVHV LQWRQDWLRQ DQG VSHFLILF SDUWLFOHV OLNH nQRZ nZHOOn HWF WR LQGLFDWH VXFK SDUDJUDSKV 2WKHU ODQJXDJHV KDYH VSHFLILF PRUSKHPHV LQ RUGHU WR PDUN EHJLQQLQJV DQG HQGLQJV RI VWUHWFKHV RI GLVFRXUVH f /RQJDFUH VWDWHV WKDW PDQ\ ODQJXDJHV KDYH SDUWLFOHV WKDW LQGLFDWH HLWKHU WKH EHJLQQLQJ RU WKH HQG RI D SDUDJUDSK )RUWKFRPLQJf +H JRHV RQ WR FLWH H[DPSOHV IURP +XLFKRO 6KLSLER DQG &DSDQDKXD

PAGE 164

,Q RXU GDWD WKH SUHVHQFH RI DQ LQWURGXFHU RI VRPH NLQG DW WKH EHJLQQLQJ RI H[SRVLWLRQV DQG SDUDJUDSKV LV W\SLFDO :KDW W\SLFDOO\ LQWURGXFHV RXU H[SRVLWLRQV LV ZHOO :H FDQQRW FODLP WKDW LW PRUH FRPPRQO\ EHJLQV H[SRVLWLRQV WKDQ RWKHU NLQGV RI GLVn FRXUVH RU WKDW LWV SULPDU\ IXQFWLRQ PD\ QRW EH D JHQHUDO RQH WR EHn JLQ DQ\ FRQYHUVDWLRQ WXUQ %XW LWV JUHDW IUHTXHQF\ RU SHUn FHQW RI WKH H[SRVLWLRQV H[DPLQHG EHJLQ ZLWK LWf LQGLFDWHV WKDW LW LV D VSHDNHUnV XVXDO ZD\ RI JHWWLQJ D PRQRORJXH H[SRVLWLRQ XQGHUZD\ ,Q RXU GDWD RQO\ WZR RWKHU LQWURGXFHUV DUH XVHG ZLWK DQ\ IUHTXHQF\ DW DOO WR EHJLQ GLVFRXUVHV RI FRXUVH LQVWDQFHVf DQG QRZ LQn VWDQFHVf ,Q FKDSWHU WKUHH LW LV VKRZQ WKDW OHIW GLVORFDWHG 13V W\SLFDOO\ EHJLQ SDUDJUDSKV ,I ZH ORRN DW WKH OHIW GLVORFDWLRQV LQ WKH VHOHFWHG H[SRVLWLRQV ZH ILQG WKDW FRQMXQFWLRQV W\SLFDOO\ DFFRPn SDQ\ VXFK 13V ,Q RWKHU ZRUGV FRQMXQFWLRQV DUH IUHTXHQW FXHV WR QHZ SDUDJUDSKV 2QO\ SHUFHQW RI WKH WRWDOf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

PAGE 165

EHWZHHQ WKH GLVORFDWHG 13 DQG WKH HQVXLQJ VHQWHQFH %XW DQ DXGLEOH KHVLWDWLRQ RIWHQ SUHFHGHV WKH 13 KRZHYHU DQG DSSDUHQWO\ DLGV D VSHDNHU LQ LQWURGXFLQJ D WKHPH LQWR GLVFRXUVH :H LQFOXGH WKH KHVLWDWLRQ XK LQ WKH WDEOH RQ WKH IROORZLQJ SDJH ZKLFK OLVWV WKH YDULHW\ RI LQWURGXFHUV IRU WKH OHIW GLVORFDWLRQV 2QH LQWURGXFHU LQ WKH OLVW KHUH OLNH GHVHUYHV RXU VSHFLDO DWWHQWLRQ %HORZ DUH WKUHH H[DPSOHV RI LW DFFRPSDQ\LQJ OHIW GLVn ORFDWHG 13V f /LNH %URRNO\Q \RX NQRZ WKHLU OLQJR 9f f $QG OLNH /LVD :LOOLDPV ZKR OLYHV GRZQ WKH VWUHHW KHUH VKH JRW PH LQWHUHVWHG LQ LW 9f f /LNH P\ FRXVLQV WKH\ KDG WR JR WR 6RXWK &DUROLQD EHFDXVH RI WKH MRE VLWXDWLRQ ;,f 6HYHQWHHQ RI WKH 13V DUH SUHFHGHG E\ OLNH RU OLNH LQ FRPELQn DWLRQ ZLWK DQRWKHU FRQMXQFWLRQ 2I WKH WRWDO RI OHIW GLVORFDn WLRQV LQ WKH HQWLUH FRUSXV DUH DFFRPSDQLHG E\ OLNH /LNH LV DSSDUHQWO\ UHVWULFWHG SULPDULO\ WR \RXQJHU VSHDNHUV DQG LW GLIn IHUV LQ IXQFWLRQ IURP RWKHU LQWURGXFHUV 5DWKHU WKDQ DFFRPSDQ\LQJ OHIW GLVORFDWHG 13V ZKLFK LQLWLDWH SDUDJUDSKV LW FUHDWHV XQLWV ZKLFK ZH ZLOO FDOO VXESDUDJUDSKV $OWKRXJK RQO\ HLJKW RI WKLV VWXG\nV LQIRUPDQWV ZHUH WZHQW\ILYH \HDUV ROG RU \RXQJHU WKHVH HLJKW XVHG WZHQW\RQH RI WKH WZHQW\QLQH LQVWDQFHV RI OLNH 7KDW LV WZHQW\ SHUFHQW RI WKH LQIRUPDQWV DFFRXQW IRU SHUFHQW RI WKH RFFXUHQFHV /LNH QRW RQO\ DFFRPn SDQLHV OHIW GLVORFDWLRQ KRZHYHU ,Q JHQHUDO LW LV D FRQMXQFWLRQ ZKLFK LQWURGXFHV DQ H[DPSOH WR HODERUDWH D SRLQW D VSHDNHU KDV PDGH

PAGE 166

,QWURGXFHG Vf )UHTXHQF\ RI 2FFXUUHQFH DQG DQG LK DQG WKHQ DQG WKHQ XK DQG RI FRXUVH DQG HYHQ DQG HYHQ XK DQG ZK\ DQG ZHO DQG XK VR EXW EXW XK EXW QRZ EXW DV IDU DV ZHOO ZHOO XK ZHOO RI FRXUVH ZHOO QRZ WKHQ OLNH DQG OLNH EXW OLNH QRZ OLNH DQG WKHQ RI FRXUVH RI FRXUVH ZK\ QRZ DV IDU DV EHFDXVH XK EHFDXVH RI FRXUVH XK 62 VR XK XK RK QDWXUDOO\ ZKHUH WKDW XK \RX NQRZ RND\ \HDK PRVW RI WKH WLPH WKRXJK )LJXUH ,QWURGXFHUV $FFRPSDQ\LQJ /HIW 'LVORFDWHG 13V

PAGE 167

$OWKRXJK ROGHU LQIRUPDQWV HPSOR\ LW WR PDNH VXFK HODERUDWLRQV ZH ILQG LW PXFK PRUH FRPPRQ DPRQJ WKH HLJKW \RXQJHU VSHDNHUV LQ ZKRVH H[SRVLWLRQV LW DSSHDUV RQ RFFDVLRQV +RVW RIWHQ XVHG E\ RQH VHYHQWHHQ\HDUROG KLJK VFKRRO VWXGHQW LQVWDQFHVf LW ZDV VWLOO IUHTXHQWO\ XVHG E\ DOO WKH UHPDLQLQJ VHYHQ \RXQJHU VSHDNHUV 7KH SUHYDOHQFH RI OLNH ZLWK OHIW GLVORFDWHG 13V PLJKW EH LQFLn GHQWDO LI LW ZHUH QRW WKDW LW VHHPV WR KDYH D VOLJKWO\ GLIIHUHQW IXQFn WLRQ ZKHQ DFFRPSDQ\LQJ WKH WKHPDWLF 13V RI OHIW GLVORFDWLRQ 2IWHQ WKH 13V LW DFFRPSDQLHV DUH QRW WKHPDWLF IRU PRUH WKDQ RQH VHQWHQFH 7KLUWHHQ RI WKH SHUFHQWf DUH OLNH WKLV 0RUH LPSRUWDQW WKH 13V VHHP WR HVWDEOLVK RQO\ OLPLWHG WKHPHV ZKLFK DUH QRW IXOO\ GHYHOn RSHG )RU LQVWDQFH LQ WKH IROORZLQJ H[DPSOHV RXU SDUHQWV DQG %URRNO\Q DUH LQWURGXFHG RQO\ WR PDNH D VLQJOH FRPPHQW DERXW WKHP EHIRUH WKH VSHDNHU PRYHV RQ /LNH PDQ\ RWKHU 13V LQWURGXFHG ZLWK OLNH WKH\ DUH QRW HVWDEOLVKHG DV WKHPHV f (YHU\RQH WKLQNV WKDW WKH\ KDYH D ULJKW WR OLYH WKHLU RZQ OLYHV WKH ZD\ WKH\ ZDQW WR DQG WKH\ GR $QG WKLQN ZH VHH WKDW PRUH \RX NQRZ KPPf /LNH RXU SDUHQWV WKH\ WKLQN WKDW ZH VWDUWHG WKH GUXJV DQG DOO WKDW VWXII EXW LW ZDV KHUH EHIRUH ZH JRW KHUH \RX NQRZ 7KDWnV KRZ IHHO DERXW LW 9,,f f 1RZ LQ WKH :RUOG :DU 7ZR ZDV ZKLOH ZDV LQ VHUYLFH RI FRXUVH \RX ZHUH ZLWK SHRSOH IURP DOO RYHU WKH 8QLWHG 6WDWHV XKKXKf DQG FRXOG WHOO E\ WKH DFFHQW ZLWKLQ WZR RU WKUHH VWDWHV RU D WKRXVDQG PLOHV XVXDOO\ ZKHUH VRPHRQH ZDV IURP XKKXKf /LNH %URRNO\Q \RX NQRZ WKHLU OLQJR XKKXKf DQG \RX FRXOG WHOO LI LWnV $ODEDPD RU *HRUJLD
PAGE 168

RWKHU ZRUGV OLNH VHHPV WR VLJQDO D VL]H RI XQLW ZKLFK PD\ EH ODUJHU WKDQ D VHQWHQFH EXW LV VPDOOHU WKDQ D SDUDJUDSK ,Q OLHX RI D UHDGLHU WHUP ZH DGRSW VXESDUDJUDSK WR UHIHU WR VXFK D XQLW LQWHUPHGLDWH EHWZHHQ D VHQWHQFH DQG D SDUDJUDSK 7KH VXE SDUDJUDSK LV D VXSHUVHQWHQWLDO XQLW LQ ZKLFK D WKHPH LV QRW IXOO\ GHn YHORSHG 7KRXJK D VXESDUDJUDSK KDV D WKHPH LW GRHV QRW KDYH WKH WKHn PDWLF QDWXUH RI D SDUDJUDSK 7KHUH LV QR UHDVRQ WR EHOLHYH WKDW OLNH LV WKH RQO\ VXESDUDJUDSK LQWURGXFHU RI FRXUVH $OWKRXJK WKH\ DUH QRW H[DPLQHG KHUH WKH SKUDVHV RI FRXUVH DQG \RX NQRZ VHHP WR RSHUDWH LQ WKH VDPH PDQQHU DV OLNH ,Q WKLV FKDSWHU ZH KDYH EULHIO\ LQGLFDWHG WKDW FRQMXQFWLRQV DQG LQn WURGXFHUV SOD\ LPSRUWDQW UROHV LQ GLVFRXUVH 7KH\ SLHFH SDUDJUDSKV DQG GLVFRXUVHV WRJHWKHU 7KH\ LQLWLDWH SDUDJUDSKV DQG GLVFRXUVHV HVSHn FLDOO\ ZKHQ DVVLVWLQJ OHIW GLVORFDWLRQ LQ VLJQDOLQJ WR D KHDUHU WKDW D QHZ WKHPH LV EHLQJ LQWURGXFHG &RQMXQFWLRQV WKHQ DUH QRW RQO\ LQWLn PDWHO\ LQYROYHG LQ WKH OLQHDU VWUXFWXUH RI WKH VWUHDP RI GLVFRXUVH EXW DOVR LQ LQGLFDWLQJ QHZ SURPLQHQFHV DQG FKDQJHV RI GLUHFWLRQ DQG LQ DFn FRPSDQ\LQJ WKH EHJLQQLQJ RI QHZ SDUDJUDSKV 7KH\ DUH FOHDUO\ DQ LPSRUn WDQW GHYLFH LQ ERWK WKH KLHUDUFKLFDO DQG WKH OLQHDU VWUXFWXUH RI GLVn FRXUVH

PAGE 169

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n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n LQHG LQ WKLV VWXG\

PAGE 170

$OWKRXJK WKLV VWXG\ LV RQH RI $SSDODFKLDQ (QJOLVK LWV ILQGLQJV DUH QRW FODLPHG WR EH H[FOXVLYH WR LW )XUWKHU LQYHVWLJDWLRQV LQWR $PHULFDQ (QJOLVK ZLWK WKH DSSURDFK WDNHQ KHUH VKRXOG EH FDUULHG RXW

PAGE 171

$33(1',; $ /,67 2) ,1)250$176 PIL ,QIRUPDQW 1R 6H[ DQG $JH RI ,QIRUPDQW ,QWHUYLHZ &RGH )HPDOH DJH 0DOH DJH 0DOH DJH 0DOH DJH PL )HPDOH DJH )HPDOH DJH ,9 )HPDOH DJH ,9 0DOH DJH )HPDOH DJH 0DOH DJH ,9 0DOH DJH ,9 )HPDOH DJH 9,, )HPDOH DJH 9, )HPDOH DJH 9, 0DOH DJH 9 )HPDOH DJH 9 0DOH DJH 9,Of 9, 0DOH DJH 9,f )HPDOH DJH 9,,, )HPDOH DJH 9, )HPDOH DJH 9, 0DOH DJH 9, 0DOH DJH 9,,, )HPDOH DJH 9, 0DOH DJH 9, )HPDOH DJH 9, 0DOH DJH 9 )HPDOH DJH ;, )HPDOH DJH ; 0DOH DJH ; 0DOH DJH ; )HPDOH DJH ; 0DOH DJH ; 0DOH DJH ; )HPDOH DJH ; 0DOH DJH ;,f )HPDOH DJH ;,,, )HPDOH DJH ;,f )HPDOH DJH ;,, )HPDOH DJH ;,, ,QIRUPDQWV DUH OLVWHG LQ WKH RUGHU LQWHUYLHZHG &RGH QXPEHUV UHIHU WR SDJHV RI W\SHG WUDQVFULSWV RI LQWHUYLHZV

PAGE 172

$33(1',; % 6$03/( ,17(59,(: ,Q RUGHU WR H[HPSOLI\ WKH LQWHUYLHZ WHFKQLTXHV HPSOR\HG LQ WKLV SURMHFW D ORQJ SRUWLRQ RI D VDPSOH LQWHUYLHZ LV KHUH SUHVHQWHG ,W LV WKH LQWHUYLHZ ZLWK WKH WKLUW\IRXU\HDUROG SROLFH FKLHI RI :KLWH 3LQH D QDWLYH RI *UHHQH &RXQW\ 7HQQHVVHH DQG D UHVLGHQW LQ :KLWH 3LQH IRU WKUHH \HDUV 7KH FRGH OHWWHUV ) DQG KHUH UHIHU WR WKH ILHOGZRUNHU DQG WKH LQIRUPDQW WXUQV LQ WKH LQWHUYLHZ ) :HOO MXVW LQ \RXU WKUHH \HDUV KHUH KDYH WKHUH EHHQ PDMRU FKDQJHV LQ WKH ZD\ \RXnYH KDG WR JR DERXW ODZ HQIRUFHPHQW LQ WKLV WRZQ" :HOO FDQnW UHDOO\ DQVZHU WKDW RWKHU WKDQ WKLV ZD\ 7KH SHRSOH WKDW WDONHG WR DQG WKLV LQFOXGHV WKH FLW\ IDWKHUV VR WR VSHDN DQG WKH EXVLQHVVSHRSOH VDLG WKHUHnV D RQH KXQGUHG GLIIHUHQFH 8K IRU LQVWDQFH XK WKH\ XVHG WR FRQJUHJDWH LQ WKH VKRSSLQJ FHQWHU DQG WKH\nG SDVV WKHLU PDULMXDQD DURXQG RU WKHLU SLOOV RU ZKDWHYHU MXVW IURP RQH FDU WR DQRWKHU DQG XK WKH\nG ULS XS DQG GRZQ WKH KLJKZD\V :HOO VLQFH ,nYH EHHQ KHUH ZHnYH JRW D VSHHG JXQ :H FXW WKDW RXW XKKXKf :H FXW WKH GUXJ SUREOHP RXW LQ WKH VKRSn SLQJ FHQWHU :H GRQnW DOORZ QR ORDILQJ DW DOO XK RQFH WKH EXVLn QHVVHV DUH FORVHG BKPPf 3HRSOH SDUN WKHLU FDUV DQG OHDYH WKHP )LQH %XW WKH\ GRQnW VHW LQ nHP 8K WKDW ZDV D FKDQJH ZH KDG WR PDNH VR XK XK WR DQVZHU \RXU TXHVWLRQ DV IDU DV WKH FLWL]HQV RI :KLWH 3LQH LV FRQFHUQHG WKH\nV EHHQ D WUHPHQGRXV FKDQJH :H MXVW KDG WR VHW RXU IRRW GRZQ JHW D OLWWOH WLJKWHU 7KH SROLFH RIILFHU WKDW ZDV KHUH DQG KH ZDV MXVW D RQHPDQ GHSDUWPHQW KH

PAGE 173

ZDV ERUQ UDLVHG KHUH +H NQHZ HYHU\ERG\ DQG JXHVV LW ZDV MXVW KDUG IRU KLP WR \RX NQRZ JHW UHDO UHDO VHULRXV DQG FUDFN GRZQ VR WR VSHDN XKKXKf VR FKDQJH KDV EHHQ WUHPHQGRXV IURP ZKDW FDQ KHDU /LNH VDLG ,nP QRW IURP KHUH DQG WKH RQO\ ZD\ FDQ DQVZHU \RXU TXHVWLRQ KRQHVWO\ LV WR KDYH OLYHG KHUH EHIRUH FDPH RU EHIRUH ZH WRRN RYHU VR WR VSHDN 7KH QHZ DGPLQLVWUDWLRQ KDG D ORW WR GR ZLWK LW 7KH\ JDYH XV D OLWWOH PRUH SRZHU DQG D OLWn WOH PRUH DXWKRULW\ DQG XK H[FXVH PH >7KH SKRQH ULQJV KHUH IRU ,@ DQG XK WKDW KHOSV DJDLQ WKH SKRQH ULQJV IRU ,f ) ZDQWHG WR DVN \RX DERXW &RFNH &RXQW\ :K\ GRHV LW KDYH WKH UHn SXWDWLRQ LW GRHV" 0\ RSLQLRQ LV WKH\ GRQnW ZDQW WR KDYH DQ\ RWKHU W\SH RI UHSXWDWLRQ DV IDU DV ODZ HQIRUFHPHQW LV FRQFHUQHG 8K LWnV XK LWnV MXVW ZLGH RSHQ :HOO LWnV QRW DV EDG DV LW ZDV 7KH\nYH JRW D QHZ DW WRUQH\ JHQHUDO KDV GRQH VRPH WKLQJV WKDW XK DSSURYH RI +HnV XK FXW RXW D ORW RI SURVWLWXWLRQ XKKXKf 1RW DOO RI LW PLQG \RX EXW D ORW RI LW %XW WKLQN WKDW XK FRXUVH \RX NQRZ DV ZHOO DV GR \RX KDYH ZKDW WKH SHRSOH ZDQW -XVW OLNH :KLWH 3LQH LI :KLWH 3LQH ZDQWHG WZHQW\ SROLFH RIILFHUV WKH\ ZRXOG KDYH WKHP XKKXKf 8K LI &RFNH &RXQW\ ZDQWHG PRVW WKHUHnV QR ZD\ WKH\ FRXOG FXW LW DOO RXW EXW LI &RFNH &RXQW\ ZDQWHG PRVW RI WKHLU YLFH DQG XK VR FULPH FXW RXW WKH\ FRXOG ,WnV D ERUGHU VWDWH ERUGHU FRXQW\ XKKXKf VWDWH OLQH FRXQW\ DQG WKDW WKDW KDV D ORW WR GR ZLWK LW 3OXV WKH IDFW WKDW LWnV D YHU\ PRXQWDLQRXV DUHD DQG XK D ORW RI WKH RXW RI WKH ZD\ SODFHV VR WR VSHDN DQG WKH\ MXVW KDYH D ORW RI FULPH DQG D ORW RI IRU WKH VL]H RI WKH

PAGE 174

FRXQW\ JXHVV WKH\ KDYH PRUH FULPH WKDQ DQ\ RWKHU FRXQW\ LQ WKH 8QLWHG 6WDWHV 1RZ WKDWnV VD\LQJ D PRXWKIXO \HDKf EXW \RX FDQ XK \RX FDQ ILJXUH RQH RU WZR KRPLFLGHV D ZHHN 1RZ \RX FRQVLn GHU WKH VL]H RI &RFNH &RXQW\ WKDW ZRXOG EH RQH RU WZR DQ KRXU LQ WKH FLW\ RI 1HZ
PAGE 175

RI WKHUHnV JRRG SHRSOH RYHU WKHUH XKKXKf 8K LWnV XK TXLWH D KLJK FULPH UDWH IRU WKH VL]H RI WKH FRXQW\ PHDQ LWnV WUHPHQn GRXV LV DQ LQWHUUXSWLRQ RI D SURVSHFWLYH SROLFHPDQ FRPLQJ LQ WR ILOO RXW DQ DSn SOLFDWLRQ@ ) :KDW GR \RX SHUVRQDOO\ GR RQ 3LQH 'D\ HYHU\ \HDU" , GRQnW XK GRQnW UHDOO\ FDQnW DQVZHU WKDW XQOHVV ZHOO ZH KDYH D SDUDGH DQG FRRUGLQDWH LW XKKXKf 8K LWnV DERXW WKH RQO\ UHDOO\ WKH RQO\ XK SDUFLSL XK SDUW WKDW WDNH LQ LW XKKXKf LV XK WKH FRRUGLQDWLQJ WKH SDUDGH DQG OHDGLQJ DQG KDQGOLQJ WKH SDUDGH XKKXKf &RXUVH OLNH VDLG ,nYH RQO\ EHHQ KHUH D FRXSOH ZHOO WKLQN ,nYH KDG EHHQ KHUH WZR RU WKUHH 3LQH 'D\V DQG UHDOO\ GRQnW NQRZ WKH PHDQLQJ RI LW WR EH TXLWH KRQHVW ZLWK \RX %XW LWnV D LWnV D UHODWLYHO\ TXLHW QLFH OLWWOH WRZQ XK FRPSDULQJ LW ZLWK RWKHU WRZQV LWV VL]H LQ (DVW 7HQQHVVHH XKKXKf OLNH LW ) ,Q WKH WKUHH \HDUV \RXnYH EHHQ KHUH ZKDW ZRXOG \RX VD\ KDYH EHHQ WKH PRVW VLJQLILFDQW FKDQJHV LQ WKH WRZQ" :HOO WKH WKLQN WKH PRVW VLJQLILFDQW FKDQJH LV WKH WKH WKLQJV WKDW WKH FLW\ IDWKHUV KDYH GRQH VXFK DV XK UHFUHDWLRQ XK VWUHHWV

PAGE 176

WKH VHZHU WKH ZDWHU DQG WKH UHFUHDWLRQ ,W ZDV SUHWW\ EDG DQG WKH\ ZRUNHG YHU\ KDUG LQ XK GRLQJ WKH WKLQJV RI WKLV W\SH :HnYH JRW D FRXSOH RI KXQGUHG WKRXVDQG GROODUV IRU UHFUHDWLRQ ZKLFK ZHnYH JRW D QHZ VZLPPLQJ SRRO ZH KRSLQJ WR RSHQ WKLV VSULQJ XKKXKf RU HDUO\ VXPPHU DQG XK PRVWO\ WKLQJV OLNH WKDW 5HFUHn DWLRQ VWUHHWV ZDWHU VHZHU DQG VR IRUWK DQG VR RQ XKKXKf 7KDWnV EHHQ WKH PDMRU FKDQJHV VLQFH ,nYH EHHQ KHUH ) +DV WKH WUXFN VWRS JRLQJ XS RXW WKHUH KDG DQ\ HIIHFW RQ WRZQ" ,I VR ZKDW NLQG RI HIIHFW" , WKLQN LWnV KDG YHU\ OLWWOH HIIHFW 1RZ 5RDGZD\ XK 7UXFNLQJ &RPn SDQ\ KDV SXW D XK WHUPLQDO QRW D WHUPLQDO EXW D XK JXHVV \RX FRXOG VD\ DQ LQWHUPHGLDWH RU D PLG ZD\ FKDQJLQJ SRLQW RXW WKHUH RQ WKH ,QWHUVWDWH 1RZ LWnV EURXJKW TXLWH D IHZ IDPLOLHV LQWR XK ZRXOG VD\ LQ WKH ODVW VL[ PRQWKV WR D \HDU LWnV EURXJKW WHQ WZHQW\ QHZ IDPLOLHV LQWR WKH FLW\ RI :KLWH 3LQH DORQH XKKXKf DQG XK WKLQN 5RDGZD\ 7UXFNLQJ KDV KDG D VPDOO LPSDFW RQ WKH FLW\ DV IDU DV LWV JURZWK LV FRQFHUQHG GRQnW FDQnW VHH WKDW WKH WUXFN VWRS KDV KDG DQ\ ,nP VXUH LWnV KDG VRPH EXW ZRXOG WKLQN D DPRXQW VPDOO HQRXJK WKDW \RX UHDOO\ ZRXOGQnW UHFRJQL]H LW ) +PP :KDW DERXW WKH QHZ KRXVLQJ SURMHFW WKDWnV JRQH XS" :HOO QRZ LWnV ZDV EXLOW ZKHQ FDPH KHUH -XVW WKH\ KDG MXVW FRPn SOHWHG LWV \HDKf DQG XK LW JLYHV XV D ORW RI SUREOHPV
PAGE 177

WKDW XKKXKf :H KDYH WR DQVZHU D ORW RI FDOOV GRZQ WKHUH DQG D ORW RI QHJOHFWHG FKLOGUHQ DQG VR IRUWK DQG VR RQ XKKXKf 7KDWnV WKH ELJJHVW SUREOHP \RX NQRZ ZLWK LW ) :KDW NLQG RI WRZQ GR \RX WKLQN PRVW SHRSOH DURXQG KHUH ZDQW :KLWH 3LQH WR EHFRPH" , WKLQN D PDMRULW\ RI WKH SHRSOH ZDQW LW WR VWD\ OLNH LW LV 8K >9LVLWLQJ H[SROLFHPDQ ILOOLQJ RXW DSSOLFDWLRQ 1LFH TXLHW ZHOO UXQ WRZQ@
PAGE 178

) ,nYH WDONHG WR D FRXSOH RI \RXQJHU SHRSOH VD\ LQ WKHLU PLG WZHQn WLHV ZKR VDLG WKDW HYHU\ WLPH KH FRPHV KHUH KH VHHV D QHZ KRXVH JRLQJ XS DQG KH IHHOV D OLWWOH SDQJ RI VRPHWKLQJ :HOO LW LW LV :HnUH JURZLQJ 8K WHQ \HDUV IURP QRZ , ZRXOGQnW UHDOO\ ZDQW WR XK VD\ KRZ ELJ ZHnOO EH :H PD\ EH WHQ ILIWHHQ WKRXVDQG -XVW GHSHQGV RI D ORW RI WKLQJV KPPf EXW XK LW LWnV WUXH 7KHUHnV D ORW RI QHZ QHZ XK KRXVHV EHLQJ EXLOW ,Q IDFW \RX FDQnW GULYH LQ WKH FLW\ DQ\ WLPH WKDW \RX GRQnW VHH HLWKHU RQH XK MXVW EHLQJ VWDUWHG RU EHLQJ FRPSOHWHG RU VRPHWKLQJ ) ,V WKLV WKH NLQG RI SODFH \RX WKLQN \RX ZRXOG OLNH WR VHWWOH GRZQ LQ IRU D ORQJ ZKLOH"
PAGE 179

$ GROODU DQG D TXDUWHU 1RZ \RX WHOO PH DQ\ FLW\ LQ WKH VWDWH RI 7HQQHVVHH WKDWfV RU DQ\ZKHUH IRU WKDW IDFW WKDW KDV D WD[ UDWH WKDW ORZ 7KDWnV ULGLFXORXV

PAGE 180

%,%/,2*5$3+< %DLOH\ &KDUOHV-DPHV 1 ,V 7KHUH D 0LGODQG 'LDOHFW RI $PHULFDQ (QJOLVK" (5,& %D\OHVV 5LFKDUG / DQG /LQGD -RKQVRQ QG )XQFWLRQ RI 6XUIDFH 5HDUUDQJHPHQW 5XOHV LQ (QJOLVK 'LVFRXUVH 2OG DQG 0HZ ,QIRUPDn WLRQ 0DQXVFULSW %HFNHU $OWRQ / $ 7DJPHPLF $SSURDFK WR 3DUDJUDSK $QDO\VLV &ROOHJH &RPSRVLWLRQ DQG &RPPXQLFDWLRQ %HFNHU $OWRQ / 6\PSRVLXP RQ WKH 3DUDJUDSK &ROOHJH &RPSRn VLWLRQ DQG &RPPXQLFDWLRQ %HUUH\ /HVWHU 9 6RXWKHUQ 0RXQWDLQ 'LDOHFW $PHULFDQ 6SHHFK %LFHQWHQQLDO &RPPLWWHH RI -HIIHUVRQ &RXQW\ 7HQQHVVHH +HULn WDJH -HIIHUVRQ &RXQW\ %ORRPILHOG /HRQDUG /DQJXDJH 1HZ @ 7KH 6RXWKHUQ +LJKODQGHU DQG +LV +RPHn ODQG /H[LQJWRQ 8QLYHUVLW\ 3UHVV RI .HQWXFN\

PAGE 181

&DUSHQWHU &KDUOHV 9DULDWLRQ LQ WKH 6RXWKHUQ 0RXQWDLQ 'LDn OHFW $PHULFDQ 6SHHFK &DXGLOO +DUU\ 0 1LJKW &RPHV WR WKH &XPEHUODQGV $ %LRJUDSK\ RI D 'HSUHVVHG $UHD %RVWRQ /LWWOH %URZQ &KDIH :DOODFH / /DQJXDJH DQG &RQVFLRXVQHVV /DQJXDJH &KDIH :DOODFH / *LYHQQHVV &RQWUDVWLYHQHVV 'HILQLWHQHVV 6XEMHFWV DQG 3RLQW RI 9LHZ ,Q 6XEMHFW DQG 7RSLF HGLWHG E\ &KDUOHV 1 /L 1HZ
PAGE 182

(DVW 7HQQHVVHH 'HYHORSPHQW 'LVWULFW &RXQW\ &HQVXV 6XPPDU\ -HIIHUVRQ &RXQW\ 3DUW 5HSRUW 1R (766J .QR[YLOOH (DVW 7HQQHVVHH 'HYHORSPHQW 'LVWULFW &RXQW\ &HQVXV 6XPPDU\ -HIIHUVRQ &RXQW\ 3DUW ,, 5HSRUW 1R (766E .QR[n YLOOH (DVW 7HQQHVVHH 'HYHORSPHQW 'LVWULFW )RRG 6WDPS 6XUYH\ $ 6XPPDU\ 5HSRUW 5HSRUW 1R .QR[YLOOH )LUEDV -DQ 2Q 'HILQLQJ WKH 7KHPH LQ )XQFWLRQDO 6HQWHQFH $QDO\VLV ,Q 7UDYDX[ /LQJXLVWLTXHV GH 3UDJXH 9ROXPH HGLWHG E\ -RVHSK 9DFKHN 7XVFDORRVD 8QLYHUVLW\ RI $ODEDPD )LUWK 5 D>@ 7KH 7HFKQLTXH RI 6HPDQWLFV 5HSULQWHG LQ 3DSHUV LQ /LQJXLVWLFV E\ 5 )LUWK /RQGRQ 2[n IRUG 8QLYHUVLW\ 3UHVV )LUWK 5 E (WKQRJUDSKLF $QDO\VLV DQG /DQJXDJH ZLWK 5HIHUn HQFH WR 0DOLQRZVNLnV 9LHZV ,Q 0DQ DQG &XOWXUH $Q (YDOXDWLRQ RI WKH :RUN RI %URQWLVODZ 0DOLQRZVNL E\ 5D\PRQG )LUWK 1HZ
PAGE 183

*ULPHV -RVHSK ( DQG 1DRPL *ORFN $ 6DUDPDFFDQ 1DUUDWLYH 3DWWHUQ /DQJXDJH *XPSHU] -RKQ DQG 'HOO +\PHV HGV 'LUHFWLRQV IRU 6RFLROLQn JXLVWLFV 7KH (WKQRJUDSK\ RI &RPPXQLFDWLRQ 1HZ
PAGE 184

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nV &RQWULEXWLRQ WR )LHOGZRUN 0Hn WKRGV DQG WKH :ULWLQJ RI (WKQRJUDSK\ ,Q 0DQ DQG &XOWXUH $Q (YDOXDWLRQ RI WKH :RUN RI %URQWLVODZ 0DOLQRZVNL E\ 5D\PRQG )LUWK 1HZ @ 2XU 6RXWKHUQ +LJKODQGHUV .QR[YLOOH 8QLYHUVLW\ RI 7HQQHVVHH .HWQHU .HQQHWK /DLQH 7KH 5ROH RI +\SRWKHVHV LQ )RONORULVWLFV -RXUQDO RI $PHULFDQ )RONORUH .ODPPHU 7KRPDV 3DXO 7KH 6WUXFWXUH RI 'LDORJXH 3DUDJUDSKV LQ :ULWWHQ (QJOLVK 'UDPDWLF DQG 1DUUDWLYH 'LVFRXUVH 8QLYHUn VLW\ RI 0LFKLJDQ GLVVHUWDWLRQ .ODPPHU 7KRPDV 3 DQG &DURO &RPSWRQ 6RPH 5HFHQW &RQWULn EXWLRQV WR 7DJPHPLF $QDO\VLV RI 'LVFRXUVH *ORVVD .RHQ )UDQN 0 $OWRQ / %HFNHU DQG 5LFKDUG (
PAGE 185

.XUDWK +DQV $ :RUG *HRJUDSK\ RI WKH (DVWHUQ 8QLWHG 6WDWHV $QQ $UERU 8QLYHUVLW\ RI 0LFKLJDQ .XUDWK +DQV DQG 5DYHQ 0F'DYLG -U 7KH 3URQXQFLDWLRQ RI (QJOLVK LQ WKH $WODQWLF 6WDWHV $QQ $UERU 8QLYHUVLW\ RI 0LFKn LJDQ /D %DUUH :HVWRQ 7KH 6QDNH+DQGOLQJ &XOW RI WKH $PHULFDQ 6RXWKHDVW ,Q &XOWXUDO $QWKURSRORJ\ HGLWHG E\ :DUG *RRGHQRXJK 1HZ
PAGE 186

/RQJDFUH 5REHUW ( DQG 6WHSKHQ /HYLQVRKQ )LHOG 0HWKRGV RI 'LVFRXUVH ,Q &XUUHQW 7UHQGV LQ 7H[W /LQJXLVWLFV HGLWHG E\ :ROIJDQJ 8 'UHVVLHU 1HZ @ $UJRQDXWV RI WKH :HVWHUQ 3DFLn ILF 1HZ
PAGE 187

3LNH .HQQHWK / 'LVFRXUVH $QDO\VLV DQG 7DJPHPH 0DWULFHV 2FHDQLF /LQJXLVWLFV 3LNH .HQQHWK / /DQJXDJH LQ 5HODWLRQ WR D 8QLILHG 7KHRU\ RI WKH 6WUXFWXUH RI +XPDQ %HKDYLRU 7KH +DJXH 0RXWRQ A3LNH .HQQHWK / DQG ,YDQ /RZH 3URQRPLQDO 5HIHUHQFH LQ (QJOLVK &RQYHUVDWLRQ DQG 'LVFRXUVH f§ $ *URXS 7UHDWPHQW )ROLD /LQJLVWLFD 3LNH .HQQHWK / DQG (YHO\Q 3LNH *UDPPDWLFDO $QDO\VLV 'DOODV 6XPPHU ,QVWLWXWH RI /LQJXLVWLFV 3RVWDO 3DXO 0 &URVV2YHU 3KHQRPHQD 1HZ
PAGE 188

9DQFH 5XSHUW % +XPDQ *HRJUDSK\ RI WKH 6RXWK &KDSHO +LOO 8QLYHUVLW\ RI 1RUWK &DUROLQD 9DQFH 5XSHUW % 7KH 5HJLRQ $ 1HZ 6XUYH\ ,Q 7KH 6RXWKHUQ $SSDODFKLDQ 5HJLRQ $ 6XUYH\ HGLWHG E\ 7KRPDV 5 )RUG /H[LQJn WRQ 8QLYHUVLW\ RI .HQWXFN\ 9DQ 'LMN 7HXQ $ 6RPH $VSHFWV RI 7H[W *UDPPDUV 7KH +DJXH 1RXWRQ 9DQ 'LMN 7HXQ $ 7H[W DQG &RQWH[W ([SORUDWLRQV LQ WKH 6HPDQn WLFV DQG 3UDJPDWLFV RI 'LVFRXUVH /RQGRQ /RQJPDQ 9DQ 'LMN 7HXQ $ DQG -DQRV 6 3HWGIL HGV *UDPPDUV DQG 'HVFULSWLRQV 6WXGLHV LQ 7H[W 7KHRU\ DQG 7H[W $QDO\VLV 1HZ
PAGE 189

:LVH 0DU\ 5XWK ,GHQWLILFDWLRQ RI 3DUWLFLSDQWV LQ 'LVFRXUVH $ 6WXG\ RI $VSHFWV RI )RUP DQG 0HDQLQJ LQ IORPDWVLJXHQJD 1RUPDQ 2NODKRPD 6XPPHU ,QVWLWXWH RI /LQJXLVWLFV :ROIUDP :DOW 2Q WKH /LQJXLVWLF 6WXG\ RI $SSDODFKLDQ 6SHHFK $SSDODFKLDQ -RXUQDO :ROIUDP :DOW DQG 'RQQD &KULVWLDQ 6RFLROLQJXLVWLF 9DULDWLRQ LQ $SSDODFKLDQ 'LDOHFWV )LQDO 5HSRUW 1,( *UDQW 1XPEHU :ROIUDP :DOW DQG 'RQQD &KULVWLDQ $SSDODFKLDQ 6SHHFK $UOLQJWRQ &HQWHU IRU $SSOLHG /LQJXLVWLFV

PAGE 190

%,2*5$3+,&$/ 6.(7&+ 0LFKDHO %U\DQW 0RQWJRPHU\ ZDV ERUQ RQ 0D\ LQ .QR[n YLOOH 7HQQHVVHH DQG DWWHQGHG SXEOLF VFKRRO LQ WKDW FLW\ JUDGXDn WLQJ IURP +ROVWRQ +LJK DV VDOXWDWRULDQ RI KLV FODVV LQ 7KHUHn DIWHU KH HQWHUHG 0DU\YLOOH &ROOHJH 0DU\YLOOH 7HQQHVVHH DQG JUDGXn DWHG FXP ODXGH ZLWK D %DFKHORU RI $UWV LQ (QJOLVK IURP 0DU\YLOOH LQ :KLOH SXUVXLQJ D PDVWHU RI $UWV LQ (QJOLVK DW WKH 8QLYHUVLW\ RI 7HQQHVVHH DW .QR[YLOOH KH GHWHUPLQHG WR VWXG\ OLQJXLVWLFV $IWHU UHFHLYLQJ KLV PDVWHUnV LQ KH HQUROOHG LQ WKH 3URJUDP LQ /LQJXLVn WLFV DW WKH 8QLYHUVLW\ RI )ORULGD WR VWXG\ IRU WKH GRFWRUDWH 'XULQJ WKH DFDGHPLF \HDU KH ZDV ,QVWUXFWRU LQ (QJOLVK DW WKH 8QLYHUn VLW\ RI $UNDQVDV DW /LWWOH 5RFN DQG FRRUGLQDWRU RI WKH 'HSDUWPHQW RI (QJOLVKnV :ULWHUnV +RWOLQH 6HUYLFH %HJLQQLQJ LQ WKH IDOO RI KH ZLOO EH $VVLVWDQW 3URIHVVRU RI (QJOLVK DW 0HPSKLV 6WDWH 8QLYHUVLW\ LQ 0HPSKLV 7HQQHVVHH +LV IDYRULWH KREE\ LV OLQJXLVWLFV

PAGE 191

, 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\ m0KRr :LOOLDP 6XOOLYAKn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n8 9 098 5RJHU II 7KRPSVRQ $VVRFLDWH 3URIHVVRU RI /LQJXLVWLFV 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\ 1RUPDQ 1 0DUNHO 3URIHVVRU RI 6SHHFK

PAGE 192

, 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 3KLORVSK\ 5REHUW 6LU7KRPVRQ $VVRFLDWH 3URIHVVRU RI (QJOMVLf 7KLV GLVVHUWDWLRQ ZDV VXEPLWWHG WR WKH *UDGXDWH )DFXOW\ RI WKH 3URJUDP LQ /LQJXLVWLFV LQ WKH &ROOHJH RI /LEHUDO $UWV DQG 6FLHQFHV DQG WR WKH *UDGXDWH &RXQFLO DQG ZDV DFFHSWHG DV SDUWLDO IXOILOOPHQW RI WKH UHn TXLUHPHQWV IRU WKH GHJUHH RI 'RFWRU RI 3KLORVRSK\ $XJXVW 'HDQ *UDGXDWH 6FKRRO LfO

PAGE 193

81,9(56,7< 2) )O25,'$ 0/


109
juncture between the NP and what comes after, but rarely is there
any sort of hesitation phenomena ('tih" or a long pause, for instance)
which would indicate that a speaker might be changing course after
beginning with an NP. Other than appositional information, it is also
rare for anything to intervene between the NP and the sentence in which
it is thematic.
Functions
To understand the functioning of left dislocation in oral exposi
tions, we must determine 1) the relationship of left dislocated NPs to
preceding portions of discourse; 2) the relationship of left dislocated
NPs to subsequent portions of discourse; and 3) the distribution of
left dislocated NPs over entire expositions.
As is remarked above (p. 105), left dislocation usually involves
pieces of information which are NEW, i.e. knowable to or recognizable
by the hearer from outside the immediate verbal context. Of the 606
instances of left dislocation identified in the White Pine corpus, 571
involve such NEW information (94.2 percent of the total, that is).
Thirty-five instances (5.8 percent of the total) involve GIVEN informa
tion (which the speaker would probably presume to be in the conscious
ness of the hearer because it had been mentioned in a closely preceding
context). These seem to involve the speaker's giving a special empha
sis to the left dislocated piece of information.
Four types of dislocated NEW information suggest themselves.
These types are not mutually exclusive. For example, a left dislocated


39
prepared. As thorough and as broad an ethnography as possible is in
dispensable to successful and accurate anthropological and linguistic
fieldwork. It is necessary to explain this point in regard to linguis
tic research in general and to this project in particular.
Speech is social behavior par excellence. As Hymes indicates, it
is the "nexus between language and social life" (1971:42). We cannot
accurately describe language (or, as Malinowski would say, meaning)
without reference to its role in society and the setting, participants,
events, acts, norms, etc., which it involves. Speech must be viewed as
permeating and not just overlaying most social behavior; therefore, de
scription of such behavior must make reference to language and its
forms.
No aspect of a culture can accurately be described without explica
ting its interrelationships with and dependencies on other aspects of
the culture. This has been more or less axiomatic since Malinowski's
ethnographic work among the Trobriand Islanders more than sixty years
ago. Malinowski insisted that a researcher approach a way of life as
a whole, as full of interdependencies, as an integration of life. Only
the application of the most rigorous techniques and standards for the
collection of data of all kindsmaterial, linguistic, topographical,
personal, ceremonial, among otherscould enable the adequate explica
tion of the "context of situation," to use the term Malinowski (1923:306)
himself coined. All pertinent data must inform an understanding of a
context of situation before a generalization can be made, in other
words. For Malinowski, a context of situation is at the same time


142
as those extra-positions discussed above on page 136 do. In these
cases the deictic points forward to the information which has not
been previously mentioned by a speaker, as in
35) The girls are just, you know, they're, they're so strong
and you can see their weak points, but you can see how
they overcome them, and they're outgoing. And 1 guess maybe
that's the wav I like to be, you know, to be able to get
out and to be, so I won't be so nervous and everything.
(XI-6)
36) It's a friendly town. It really is. It's small, and you
just kind of hate to leave it, you know, really, but I was
surprised. I didn't really think that that many people
stay. I like White Pine a lot, but I don't know if I want,
you know, to stay here for rest of my life or whatever, but
a lot of them's gotten married and they're still living
here in White Pine, and so I think that's the biggest reason
White Pine's really grown a lot, because all the, you know,
the kids are growing up and everything and they're staying
here. (VII3-13)
In the first example, "to be able . everything" is appositive to
the identifying sentence; in the second, "because . here" is.
We perhaps cannot say that the deictics in such contexts are over
whelmingly cataphoric, but although they do weakly point backward,
they do not clearly point to any specific portion of the preceding
discourse and, more importantly, the discourse would be incomplete
in these instances without the appositional information. The force of
these deictics is predominantly cataphoric.
On the other hand, we also find that identifying sentences with
WH-clauses may also have appositional information attached afterward,
as in
37) And then I came back to Morristown. My brother-in-law and
sister opened a, an office in Morristown and so I came down
to live with them and go to Morristown Business School, and


52
Agriculture
Construc
tion
Manufac
turing
Trade,
and
, Service
Finance
, Other
#
%
#
%
# %
#
%
#
%
1970 Census 89
6.3
129
9.1
720 51.0
327
23.1
142
10.0
Present
Study Infor- 3
8.1
3
8.1
6 16.2
21
56.8
4
10.8
mants
If females were not members of the labor force, they were categorized
according to the employment of the breadwinner of their families. The
present study's higher percentage of informants supported by trade, ser
vice, and finance than the percentage of those depending on manufactur
ing contrasts with the percentages for the overall White Pine area.
This is due to their availability. There were more people in trade,
service, and finance positions who were available for interviews than
in manufacturing.
Although no census figures are available on the lengths of resi
dence of White Pine inhabitants, it is clear that the great majority
of them are lifelong natives of White Pine or the nearby area. Of the
forty informants, twenty-two were natives of White Pine and another
thirteen were natives of nearby counties in East Tennessee, nine of whom
had spent more than half their lives in White Pine. Four were natives
of elsewhere in Tennessee or of another state, and one was a native of
Great Britain. Informants were chosen on the bases of their ages and
educational backgrounds and not their nativities. Even so, the cohe
sive devices analyzed in chapter three through five were examined for
differences in function between natives of White Pine and non-natives.
None but incidental differences in frequency were found.


CHAPTER III
THEMATIC DEVICES
General Remarks
It is indicated in chapter two that a speaker may use certain
constructions known as cohesive devices to signal to a hearer what
the theme of a following block of the speaker's message will be.
Theme is the obligatory unit of such a block or paragraph and is de
fined as the piece of information (not necessarily a human participant)
which initiates an anaphora chain and which the block is about. Al
though it must be generalized to aDply to all paragraphs, this narrow
definition of theme demonstrably applies to those paragraphs in our
corpus beginning with thematic devices.
In this chapter our concept of theme is compared with others
(Halliday 1967-8, Firbas 1966, Jones 1977) and we discuss briefly those
constructions that these treatments (especially Jones) consider to be
thematic devices. The main portion of the chapter explores the nature,
function(s), and distribution of one particular deviceleft disloca
tion. This is one very common device through which paragraphs are
formed in this corpus of expository monologues. Finally we look at
existential sentences in the corpus and see how they also function as
thematic devices. They also complement left dislocation.
More often than not themes are reflected by anaphora chains ex
tending for more than one sentence. An anaphora chain is a string of
89


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 Philosphy.
Robert S"irThomson
Associate Professor of
Engljsi)/
This dissertation was submitted to the Graduate Faculty of the Program
in Linguistics in the College of Liberal Arts and Sciences and to the
Graduate Council, and was accepted as partial fulfillment of the re
quirements for the degree of Doctor of Philosophy.
August 1979
Dean, Graduate School
i)08l;


171
A dollar and a quarter. Now you tell me any city in the state of
Tennessee thats, or anywhere for that fact, that has a tax rate
that low. That's ridiculous. . .


30
Ford surveyed nearly 1,500 homes in a region closely coterminous
with Campbell's Southern Highland region (page 22 above) in three dif
ferent kinds of communityrural, urban, and metropolitanwith a
questionnaire devised to indicate the strength of four prominent
traitsindividualism and self-reliance, traditionalism, fatalism, and
fundamentalist religion. It was hypothesized that, because of the eco
nomic and social changes which had taken place after the Second World
War, a disparity between rural and non-rural manifestation of these
traits would be found. Although he did find some disparity, his results
show that the four traits he chose form a common denominator for Southern
Appalachia in general. Ford outlines his choice of traits in this man
ner:
In examining the web of mountain life, one finds these themes
intertwined and generally, though not always, mutually support
ing. Most so-called "mountain traits" are to be found in one
form or another throughout the nation, particularly in rural
areas. At the same time, each of them has its antithesis in
contemporary industrial society. The self-reliant individual
ist, at least as an "ideal type," stands at the far end of the
scale from the much berated "organization man." Traditionalism,
not only in the sense of clinging to an earlier heritage but
also in the exaltation of resistance to social change, is viewed
as both anachronistic and vaguely immoral by a larger society
that values progress through rational, scientific endeavor.
Even more reprehensible to a culture that stresses achievement,
self-betterment, and mastery ovor nature is a passive resigna
tion to one's situation in life, particularly if it is a situa
tion viewed as both undesirable and remediable. Less subject to
censure by the larger society, perhaps, but contrasting as
sharply with its dominant valuesand not immune from ridicule
is the rigid, pervasive religious ethos of the [Southern Appala
chian] Region. (p. 11)
Commentators on Southern Appalachia have long characterized its
people as individualistic, self-reliant, and non-social. Campbell


40
broader and immensely more useful than the concept of a "linguistic
context": "Even as in the reality of spoken or written languages, a
word without 'linguistic context' is a mere figment and stands for
nothing by itself, so in the reality of a spoken living tongue, the
utterance has no meaning except in the 'context of situation'"
(1923:307).
In addition to the many kinds of data Malinowski considered useful
he also advocated that a researcher keep two kinds of personal records
which should constitute parts of his field records (Kaberry 1957:78-9):
1) An ethnographic diary of daily activities and observations not
ing what is the normal and the typical and what is not, the
kind of information that is not elicitable by questions and an
swers of a community's residents. Malinowski called such infor
mation the "imponderabilia of actual life." The present re
searcher kept such a diary while in the field, a diary which
also recorded the accounts of his successes and failures and
mistakes in the field.
2) A "corpus inscriptionum," which "entailed the recording in the
native language of narratives, opinions, typical utterances,
myths, folk-lore, magical formulae, and native explanations and
interpretations of customs and beliefs" (Kaberry, p. 79).
Since this researcher collected only one type of discourse (ex
pository, as defined in chapter two), his forty five hours of
taped explanations and descriptions constitute his "corpus in
scriptionum."


42
rather than the accidental as an appropriate object of study. Firth's
view also makes the important implication that there is no necessary
one-to-one relationship between an utterance and its meaning. This
implication is most valuable when we examine typical behavior.
The typical behavior (an utterance, in this case) from the White
Pine corpus to be explored briefly here is the expression "I don't
know." At times in the interviews this expression became almost annoy
ingly frequent. Consider an excerpt from an interview with a thirty-
nine-year-old housewife:
Fieldworker: Why should people be proud of White Pine? What
would you say?
Informant: Well, as a community, I think it's uh, it's a good
community to live in, to raise your children in. Well, 1
don't know. The churches, the schools, everything. I think
it's just a, I don't know. I like it. I think it's, that's
why I think it's a good community is because I like it,
(uh-huh, uh-huh) and I don't know.
Of course, it may be that the informant does not know how to artic
ulate her feelings here, or perhaps she in fact does not know why she
should be proud of White Pine, even though she had just stated, before
the fieldworker's questions, that the residents of the community should
be proud of White Pine. But this can hardly account for there being so
many occurrences in this excerpt of so deceptively short an expression
(three times in about twenty seconds). There are at least three differ
ent I don't know's" to be found in the corpus, two of which are exem
plified here. Although this cannot be as clearly seen from the written
transcript, the researcher clearly identified at least three distinct
meanings for this expression:


no
NP may be both contrastive and reintroduced.
1) The majority of left dislocated NPs represent new partici
pants or other pieces of information which a speaker had not pre
viously mentioned. Of the total of 606 instances, 488 (80.5 percent)
are primarily of this type. In introducing new participants or char
acters or in indicating the principal object or location of discus
sion for the ensuing sentence (and further discourse usually), left
dislocation is thus a stage-setting device. We see three examples
of this in the following discussion of his immediate family by a sixty-
two-year-old man:
43) Mother, she's been dead fifty two year, (hmm) and Dad, he's
been dead about uh fourteen year, (hmm) So therefore uh,
I had a sister, she's been dead, oh, I'd say twenty five
year, and I had a half-brother died nine months old. He
was a twin, and the other one, ire died of meningitis. He
choked to death. That's, that's been uh thirty, thirty
years, I guess, or maybe a little longer than that, just
not knowing the time. (IV2-2)
Introducing new information for the first time is thus the primary func
tion of left dislocation. This is true whether the left dislocated NP
represents a subject or an object, whether it repersents an element in
the matrix or an embedded clause. Prince (1978) claims that left dis
located subjects tend to represent new information while left disloca
ted non-subjects in general represent old information. There is no
support for these contentions in this corpus' data. Nearly 95 percent
of left dislocations serve to introduce new information, regardless of
whether they are subjects or not.
2) Another type of left dislocation represents a special kind of


150
Viewed in isolation, instances of the three kinds of deictics
(those in peak sentences, in anaphoric identifying clauses, and in
extrapositions) may not then be readily distinguishable. It is only
when we examine their anaphoricity or cataphoricity in their dis
course context that they can be distinguished.
The peak sentences (examples 48-53 above) we have looked at in
their discourse contexts come either at the end or towards the end
of a speaker's exposition of a point. Moreover, they clearly have
the effect of summing up and culminating a foregoing portion of
discourse sometimes of considerable length, as in 48, where a teenage
speaker explains the best way he knows to get away and clear his
thoughts, or in 49, where a Baptist minister explains the one most
important change he has observed in the town of White Pine. In only
one case of fifty does a peak sentence come at the beginning of an
informant's response:
54) Fieldworker: The more I listen to disco music, the more
it seems to me it all sounds the same.
Informant: It does. It's got the same beat, same loudness.
That's what a lot of people do too is go to places like
Flanagan's and Uncle Sam's and dance.
In this example, "that" is not anaphoric and the peak sentence does
not sum up any portion of foregoing conversation. It may be that it
sums up information implicit in the conversation or in the mind of the
informant, but it clearly sums up what the informant has to say on the
subject of entertainment. It does not really constitute a counterexam
ple to our generalization that peak sentences follow and sum up blocks
of discourse.


All structures are examined with the view of identifying what is
typical about them, which is why they are quantified numerically when
ever possible. This is to insure that the data are not chance findings
of random observation.
It was found that spontaneous expository monologues contain super-
sentential units that are thematically unified and that various surface
structure cohesive devices play significant roles in creating such
unity for the benefit of a hearer. These units are shown to be oral
paragraphs.


59
are involved. Fieldwork is extremely hard and tiring work, but its
rewards in terms of friendships gained justify the effort put in by
the fieldworker.
From this researcher's perspective, at least three skills are re
quired of the linguistic fieldworker in such a study as this one:
1) The ability and willingness of a fieldworker to relate to his
informants as humans who are willing to share their personal, and some
times intimate, experiences with him. The fieldworker must value his
informants as people and not as sources of data, which means that it
is probably impossible to do good fieldwork without genuinely enjoying
human contact.
2) A resourcefulness to adapt to new situations and people in ways
that the fieldworker could not have foreseen before going into the
field. The fieldworker must take care and even pains to approach peo
ple as individuals without preconceptions and prejudices. He should ap
proach his corrmunity as a microcosm having a great variety of unique in
dividuals.
3)A disposition to persevere against frustrations and inconveni
ences and ever-present delays. In short, he must be so committed to
3
doing his fieldwork that he develops a kind of salespitch for it. He
must be willing to solicit assistance from often-hesitant and sometimes
skeptical people while at the same time endeavoring to establish a fa
vorable rapport with them.
Though the most demanding work he had ever done, this writer found
it immensely rewarding. It gave him many fond memories and several
good friendships which have developed from his interviews.


159
Although older informants employ it to make such elaborations, we
find it much more common among the eight younger speakers, in whose
expositions it appears on 164 occasions. Host often used by one
seventeen-year-old high school student (47 instances), it was still
frequently used by all the remaining seven younger speakers.
The prevalence of "like" with left dislocated NPs might be inci
dental if it were not that it seems to have a slightly different func
tion when accompanying the thematic NPs of left dislocation. Often,
the NPs it accompanies are not thematic for more than one sentence.
Thirteen of the 29 (44.8 percent) are like this. More important, the
NPs seem to establish only limited themes which are not fully devel
oped. For instance, in the following examples, "our parents" and
"Brooklyn" are introduced only to make a single comment about them
before the speaker moves on. Like many other NPs introduced with
"like," they are not established as themes.
5) . .Everyone thinks that they have a right to live their own
lives the way they want to, and they do. And I think we
see that more, you know, (hmm) Like our parents, they
think that we started the drugs and all that stuff, but it
was here before we got here, you know. That's how I
feel about it. (VII3-23)
6) Now in the World War Two I was, while I was in service, of
course you were with people from all over the United States,
(uh-huh) and I could tell by the accent within two or three
states or a thousand miles usually where someone was from,
(uh-huh) Like Brooklyn, you know their lingo, (uh-huh) and
you could tell if it's Alabama or Georgia. You could tell
by their talk, . (V3-16)
Even in expositions in which the like-accompanying NP is thematic for
longer than one sentence, the theme has this limited quality. In


86
-PROJECTED
+PROJECTED
s
NARRATIVE
PROCEDURAL
u
. 1. 1/3 person.
I. Non-specific person.
c
2- Agent oriented.
2. Patient oriented.
c
3. Accomplished time.
3. Projected time.
+ E
4. Chronological linkages
4. Chronological linkage.
s
.
s
I
0
N
s
EXPOSITORY
HORTATORY
u
1. No necessary person reference.
I. 2 person.
c
2. (Subject matter oriented).
2. Addressee oriented.
c
3. Time not focal.
3. (Mode, not time).
-E
4. Logical linkage.
4. Logical linkage.
s
s
I
o
N
Diagram I. Deep structure genre
Figure 2.1 Deep Structure Genre
(From Longacre 1976:200)


106
31) One of the biaqer Blacks, he's about twenty four years old.
(13-2)
32) People my age that went North and worked, some of 'em have
come back [to] the territory. (IV418)
But not in one instance is the left dislocated NP a nonspecific indef
inite.:. In her study, Prince (1978b) agrees that nonspecific indefi
nites cannot be dislocated. In general, her contention that specific
indefinite NPs. which are dislocated represent subjects is consistent
with the data from our corpus. Of the several dozen dislocated specif
ic NPs, only three are not subjects, two of which are 33 and 34 below:
33) Certain people who have money in this town, people look up to
'em. (.13-6)
34) Well, each, each section, I think they call it a pod. (VI-6)
Such examples are equivalent to passive sentences with specific indefi
nites dislocated from the subject position.
Another contention of Prince, however, is disaffirmed by the data
from White Pine,. She claims that left dislocated subjects are usually
new information while left dislocated non-subjects reintroduce old in
formation.. It is shown below that nearly all left dislocations repre
sent new information, regardless of which syntactic position in the sen
tence they are related to.
Further evidence for all left dislocated NPs not being nonspecific
indefinites, is available. There was not a single instance of an indefi
nite pronoun serving as the copy of the dislocated NP. Our data leave
no doubt that left dislocation is a thematic device constrained not to


8
many generations in White Pine itself; some are descendants of the
original settlers in the area.
The rolling terrain of the White Pine area is better than average
farm and pasture land, with corn, tobacco, and wheat being the staple
crops. Although not in the mountains itself, White Pine lies in the
center of the region referred to as Southern Appalachia and is in many
respects a typical small town of the region. Although it is sometimes
supposed that all Appalachian communities are socially and culturally
homogeneous, only the extremely isolated areas actually are. There
fore White Pine is perhaps more typical of Southern Appalachia because
it is neither homogeneous nor isolated.
To the outsider, White Pine seems a slow-paced and unassuming
small town, all of whose residents know one another. It seems to be a
town with few pretentions. On a not atypical day one can get a good
flavor of the town's personality by visiting the town's center of ac
tivity and one of its chief public forums, the drugstore at Main and
Maple, where the mayor, the chief of police, one or two city alderman,
the town's physician, and a local minister hobnob over coffee.
Such an appearance would be rather deceptive, for in recent years
White Pine has entered a period of great transition socially and eco
nomically. It has also considerably changed in the way it views it
self (the near doubling of the town's population since 1960 through
annexation and immigration would suggest this anyway). Life has be
come more complex for its residents as the changes have come. For
such a long time White Pine resisted change of any kind that many of


148
the anaphoricity predominates; in others, as in 51, the cataphoricity
clearly is more prominent:
50) ... and I think that uh the main thing I think in the candy-
pulling that we, course we like the candy and that was a
good way to have it, but we liked the fellowship and together
of all the young people. That was, that was the main thing,
I mean, that we loved to get together. And I said like this,
so many, well in fact, that's where I met my husband was at
a candy-pulling. (II12-12}
51) I cannot pass, well, bratwurst is my favorite, those large
white sausage, you know, on hot, hard sour dough bread, uh
with hyacinth, very hot mustard. I just, I can't pass one
up. I went with my father-in-law uh on one trip while we
was there, and we stopped for lunch, why, that's all I
could think about was getting me some potato salad and
getting me a couple of bratwurst on bread. (I3-18)
In the discussion of identification sentences with right dislocation
above (pp. 140-1), it was indicated that those with WH-clauses tended
to have initial deictics that are anaphoric and that those without
such clauses tended to have cataphoric ones. Notice that the ana
phoric deictic in 51 above is followed by a WH-clause and that the
cataphoric one in 52 is not. Of the ten instances of peak sentences
with WH-clauses in the data, only three are not clearly anaphoric.
The peak sentences without such clauses have deictics which are more
clearly ambiphoric. The seven strongly anaphoric sentences, like
50 above and 52 below, repeat information verbatim, as does 37 above.
52) Well, as a community, I think it's a, it's a good community
to live in, to raise your children in. Well, I don't know.
The churches, the schools, everything. I think it's just
a, 1 don't know, I like it. I think it's, that's why I think
it's a good communitv is because I like it. and I don't know.
(VI7)
The forty remaining instances have deictics which are cataphoric to
varying degrees; none of them involve a repetition as in 52. The


93
dichotomy of sentence organization originally proposed by one of the
founders of the Prague School of linguistics, Vilem Mathesius, a half
century ago.
Firbas' refinement is that theme is "constituted by the sentence
element (or elements) carrying the lowest degree(s) of Communicative
Dynamism within the sentence" (1966:272). He defines "degree of Com
municative Dynamism" as "the extent to which the sentence element con
tributes to the development of the communication, to which it 'pushes
the communication forward,1 as it were" (p. 270). Firbas thus views
sentences as organized not in a strict dichotomy but as having parts
with various degrees of dynamism. Since he does not provide a clear
way to measure the dynamism of sentence elements, however, his criter
ion for theme is not readily applicable.
Firbas1 conception of theme is different from this study's on sev
eral accounts. We view theme as that constituent around which a block
or paragraph of language is organized, whether it be one or more sen
tences long. This constituent may be new information (not previously
mentioned) or given information (previously mentioned) in the context
of the discourse as a whole. Firbas' conception restricts theme to a
sentential domain and to being only given information. This conception
is too limited and puzzling, since obviously an element's discourse con
text must be considered before determining its newness or givenness.
The work of Jones (1977) on theme in expository written English
discourse is similar to this study's approach in many respects. Insist
ing that theme should not be characterized in clausal or sentential


177
Kurath, Hans. 1949. A Word Geography of the Eastern United States.
Ann Arbor: University of Michigan.
Kurath, Hans and Raven I. McDavid, Jr. 1961. The Pronunciation of
English in the Atlantic States. Ann Arbor: University of Mich
igan.
La Barre, Weston. 1964. The Snake-Handling Cult of the American
Southeast. In Cultural Anthropology, edited by Ward Goodenough.
New York: McGraw Hill. 309-33.
Labov, William. 1966. The Social Stratification of English in New
York City. Washington: Center for Applied Linguistics.
Labov, William. 1969. Contraction, Deletion, and Inherent Varia
bility of the English Copula. Language. 45. 715-62.
Labov, William. 1972. Sociolinguistic Patterns. Philadelphia:
University of Pennsylvania.
Lehiste, Ilse. 1978. Temporal Organization and Prosody-Perceptual
Aspects. Manuscript.
Lehiste, Ilse. 1979. Perception of Sentence and Paragraph Bound
aries. To appear in Frontiers of Speech Communication Research,
edited by B. Lindblom and S. Ohman. New York: Academic.
Li, Charles N. and Sandra A. Thompson. 1976. Subject and Topic:
A New Typology of Language. In Subject and Topic, edited by
Charles N. Li. New York: Academic. 457-90.
Linde, Charlotte. 1977. Information Structure in Discourse. In
Studies in Language Variation: Semantics, Syntax, Pragmatics,
Social Situations, Ethnographic Approaches, edited by Ralph W.
Fasold and Roger W. Shuy. Washington: Georgetown University.
226-36.
Longacre, Robert E. 1968. Philippine Languages: Discourse, Para
graph, and Sentence Structure. Santa Ana, California: Summer
Institute of Linguistics.
Longacre, Robert E. 1976. An Anatomy of Speech Notions. Lisse:
Peter de Ridder.
Longacre, Robert E. 1977a. A Discourse Manifesto. Manuscript.
Longacre, Robert E. 1977b. An Apparatus for the Identification of
Paragraph Types. Manuscript.
Longacre, Robert E. Forthcoming. The Paragraph as a Grammatical
Unit. To appear in Discourse and Syntax: Syntax and Semantics
12. New York: Academic. 115-34.


175
Grimes, Joseph E. and Naomi Glock. 1970. A Saramaccan Narrative
Pattern. Language. 46. 408-25.
Gumperz, John and Dell Hymes, eds. 1972. Directions for Sociolin
guistics: The Ethnography of Communication. New York: Holt.
Gundel, Jeanette K. 1974. The Role of Topic and Comment in Linguis
tic Theory. Ohio State University dissertation.
Gutwinski, Waldemar. 1976. Cohesion in Literary Texts: A Study of
Some Grammatical and Lexical Features of English Discourse.
The Hague: Mouton.
Hackenberg, Robert. 1972. A Sociolinguistic Description of Appala
chian English. Georgetown University dissertation.
Hall, Joseph S. 1942. The Phonetics of Great Smoky Mountain Speech.
Morningside Heights, New York: King's Crown Press.
Halliday, M. A. K. 1967-8. Notes on Transitivity and Theme. Jour
nal of Linguistics. 3. 37-81. 3. 199-244. 4. 179-215.
Halliday, M. A. K. 1974. Explorations in the Function of Language.
London: Edward Arnold.
Halliday, M. A. K. 1975. Learning How to Mean: Explorations in the
Development of Language. London: Edward Arnold.
Halliday, M. A. K. and Ruqaiya Hasan. 1976. Cohesion in English.
London: Longman.
Hannum, Alberta Pierson. 1969. Look Back with Love: A Recollec
tion of the Blue Ridge. New York: Vanguard.
Harris, Zellig S. 1952. Discourse Analysis. Language. 28. 1-30.
Harris, Zellig S. 1963. Discourse Analysis Reprints. The Hague:
Mouton.
Helms, Mrs. W. B. 1930. History of White Pine. Manuscript.
Hendricks, William 0. 1967. On the Notion 'Beyond the Sentence.'
Linguistics. 37. 12-51.
Hendricks, William 0. 1972. Current Trends in Discourse Analysis.
In Current Trends in Stylistics, edited by Braj Kachru and H.
W. Stahlke. Edmonton: Linguistic Research. 83-95.
Hicks, George L. 1976. Appalachian Valley. New York: Holt.


as well as linear in structure, that it has, in other words, struc
tural units larger than the sentence. It hypothesizes in particular
that speech has paragraph structure. If this first hypothesis is
true, oral paragraphs should be describable to some degree of pre
cision and generality.
Paragraphs may be viewed as having phonological, lexemic, and
grammatical structure. This study examines their grammatical struc
ture and makes a second hypothesis: that the grammatical structure
of oral expository paragraphs is organized by certain surface struc
ture cohesive devices. It investigates this hypothesis by considering
the function(s) and distribution of the following devices:
1) Introducers of themes into the stream of discourse. Such
introducers include left dislocation (as in "My mother, she's a great
cook"), existentials (as "There's a man here to see you"), it-clefts
(as "It was my brother who called") and WH-clefts (as "What I did was
to completely strike out").
2) Deictics (pointing words such as "that" and "this"), both
cataphoric (forward-pointing) and anaphoric (backward-pointing).
Structures examined are that-extraposition (as "That is good that John
finally left"), identifying sentences (as "That's what I meant"), and
peak sentences (as "That's the best thing is to leave early").
3) Introducers and conjunctions ("and," "but," "now," "then,"
"like," and others) when they accompany left dislocation and assist
in introducing themes.
vii


3
cataphoric (forward-pointing) and anaphoric (backward-pointing).
Structures examined are that-exptraposition (as That is good that
John finally left"), identifying sentences (as That's what I meant"),
and peak sentences (as "That's the best thing is to leave early").
3)Introducers and conjunctions ("and," "but," "now," "then,"
like," and others) when they accompany left dislocation and assist
in introducing themes.
All devices are examined with the view of identifying their
typical function(s) and distribution within greater discourse block
structures. Hence they are quantified numerically whenever possible.
This is to insure that the data are not chance findings of random
observation. Also to insure the nature of the data gathered, five
different parameters are controlled in this study:
1) The speaker context (a representative sample of forty infor
mants was interviewed);
2) The frequency context (data are quantified whenever possible);
3) Social context (a matter of controlling the speech style
elicited; the fieldworker-researcher assumed one role with all infor
mants) ;
4) Task control (interview was controlled to elicit only explana
tions and descriptions from informants);
5) Linguistic context (the sentence and discourse position of
all data was taken into account).
For the most part (except the fourth and, in part, the fifth),
these have been controlled in the studies of Labov. Labov


181
Wise, Mary Ruth. 1971 Identification of Participants in Discourse:
A Study of Aspects of Form and Meaning in flomatsiguenga. Norman,
Oklahoma: Summer Institute of Linguistics.
Wolfram, Walt. 1977. On the Linguistic Study of Appalachian Speech.
Appalachian Journal. 5. 92-102.
Wolfram, Walt and Donna Christian. 1975. Sociolinguistic Variation
in Appalachian Dialects. Final Report, NIE Grant Number 74-0026.
Wolfram, Walt and Donna Christian. 1976. Appalachian Speech.
Arlington: Center for Applied Linguistics.


73
in the role of addressee" (1969:74). Klammer defines monologue more
loosely as "one uninterrupted speech within a dialogue context"
(1971:38).
The monologues we encounter in our corpus are usually isomorphic
with turns in conversation, but not always. In some instances it is
obvious that monologues continue across an exchange in turns. That is,
we cannot say that a speaker needs to reintroduce, at each turn in the
conversation, all the antecedents from an earlier turn.
Good reasons for studying the structure of monologues can be
found. Longacre views monologue as a "special lopsided development of
conversation" (Longacre 1976:165). But he stresses its "universal cul
tural importance" (p. 197). His typology of discourse genres (Long
acre 1968, 1976, Longacre and Levinsohn 1978), which he believes to
have universal applications, is actually a typology of monologues (nar
rative, expository, procedural, and hortatory). What Longacre consi
ders the deep structure or universal features of expository monologues
is discussed later in this chapter.
There is another good reason for studying the structure of mono
logues. The expository monologue type of discourse on which this dis
sertation is based has all the features of what Hymes (1971) calls a
"speech act": setting and scene, participants, ends, act sequence, key,
instrumentalities, norm, and genre. Viewing monologue as a unit, more
over, allows us to examine thematizing devices, deictics, and other de
vices in this dissertation. This is because these devices help orga
nize monologue conversational turns into one or more self-contained


83
for instance, seems more likely to be used when a speaker wishes to be
emphatic, to show a contrast, or to make a particularly abrupt point.
Although the primary function of left dislocations is to introduce new
themes, our corpus has thirty five instances of left dislocation invol
ving given information, when a speaker wishes to reemphasize a piece of
information emphatically. In nearly ten percent of our left disloca
tions (45 out of 606) we find the dislocated NP immediately preceded by
"but" or "however," showing that the speaker contrasts those NPs with
earlier ones. In seven instances, we find that a left dislocation is
immediately followed by an identifying sentence, as in
1) Threshing floors, that's what they had. (Ill2-27)
This shows that a speaker wishes to make an especailly abrupt point
about a theme.
In the remaining chapters of this dissertation a strong case is
made that we cannot understand how expository discourse is organized
without considering the supersentential or discourse context of cer
tain cohesive devices. If this is true, it seems to imply something
about how a speaker communicates to a hearer. Cohesive devices, the
formal signals of the language in which a discourse is expressed,
seem to aid a speaker in communicating the hierarchical structure of
a discourse linearly. This is another way of saying that such devices
communicate the outline (implicitly, of course) of an ongoing discourse
to a hearer.


102
25) Well, this house I moved in, _U's an old house. (IV2-5)
26) You know, a man that uh, that had been raised up in a, an envi
ronment, you know, where he uh, where they had no real val
ues, you know, where he didn't really know his parents, his,
and that was offered no real guidance or whatever, you know,
uh he's more apt to, to fall back on the things that. .
(112-17)
27) And Frances and I, the one that lives in Florida is ill, we
were swinging and singing songs. (IV1-8)
In addition to 26-7, five further examples of left dislocation
working supersententially are found in the data, further evidence that we
cannot understand left dislocation as a sentential process or operation.
Some linguists have offered a sentential analysis, however, and we
briefly examine their claims. Ross posits an optional rule for left
dislocation (1967:232ff.). His formulation is as follows:
X NP Y
1 2 3
2# [1 2 3]
+Pro
Optional
He indicates that, since left dislocation can apply to NPs indetermi
nately far from the beginning of a sentence, the "distance that the dis
located NP has traveled. .suggests that the statement of the rule
must make crucial use of a variable" (p. 234). This variable is repre
sented by "X" in his rule, Ross adheres to the view that left disloca
tion is a transformation operating not only within the sentence but
also within the main clause: "Left Dislocation must be restricted to
main clauses" (p. 237).
Postal takes the sentential point of view as well (1971:135-7).
He claims that left dislocation is not bound by cross-over constraints


5
and a majority of its citizens are supported by employment in facto
ries which located in the surrounding area after the Second World War
because of the labor surplus and the low taxes. The factories re
tarded the emigration so disastrously prevalent throughout East Ten
nessee as well as other areas of Southern Appalachia in the past two
generations and attracted workers from the foothill and mountain areas
farther east, so that White Pine's population has continued to grow
steadily since the war (from 1,035 in 1950 to 1,530 in 1970 to 1,622
in 1975 tounofficially1 ,830 in 1977). It remains, however, a
cozy, closeknit (many would say "clannish") community despite the in
flux of new residents in recent years. Never has it needed more than
one stoplight, and its mayor still dutifully accepts his annual one
hundred fifty dollar check for his thirty hour a week job.
In this study, "White Pine" designates the White Pine community,
consisting of the town and adjacent neighborhoods and having a popula
tion of approximately 3,000 persons. It is the White Pine community
wherein the forty interviews for this study were conducted.
White Pine (refer to the map on page 6) lies at the extreme
northeastern corner of Jefferson County, forty miles east northeast
of Knoxville and within view of the Great Smoky Mountains. Seven
miles north on Highway 25E is Morristown (population 30,000+) and
five miles south is Cocke County (infamous for its rumrunning in the
20's and sometimes called the "Moonshining Capital of the World" dur
ing that era). East of White Pine are its sister and erstwhile rival,
but incorporated, community Leadvale and the Nolichucky River; south
and west is Douglas Lake, a Tennessee Valley Authority reservoir.


18
adheres to fundamentalist beliefs in the Bible and because of the role
of its clergy as both "preachers of the Word" and as community spokes
men commanding political and social influence. The community of White
Pine is typical of the region. Not only are the churches by far the
most prominent institutions in the community, but also religious values
permeate so thoroughly every aspect of its life that it is simply quite
impossible to deal meaningfully with most aspects of the community's
existence without taking them into consideration.
Churches have long been numerous in Appalachia. A 1935 report of
the United States Department of Agriculture reported there were in 1926
as many as 3.25 churches for each 1,000 inhabitants. It might be
thought that such a high ratio would be accounted for by the fact that
few people could motor to church fifty years ago. But the present-day
ratio in White Pine is the same: ten churches for its approximately
3,000 inhabitants (3.3 per 1,000 people). Church membership, if not
necessarily participation in church activities, is almost required for
a White Pine citizen. Perhaps as much as eighty percent of the popula
tion in the community are church members.
The two largest churches in White Pine, one a Southern Baptist and
the other a Missionary Baptist, have approximately one thousand members
between them, and the other eight are by no means all small congrega
tions. Besides five Baptist churches (of several different affilia
tions), there are two Methodist, two Pentecostal, and one Presbyterian
church. There is not a single non-Protestant church in the entire
county.


Sentence-Initial Conjunction(s) Frequency of Use
and + then 8
but 5
and 6
of course 3
well 3
so + then 1
like 1
except 1
28
Figure 3.2 Conjunctions Signaling Change in Theme


41
Before returning to the explanation of how an ethnographic sum
mary of the White Pine community was prepared, let us look more
closely at Malinowski's view of context and explore an instance from
White Pine where we must know the "context of situation" to fully un
derstand certain linguistic behavior.
As a result of his fieldwork experience, Malinowski formulated the
two concepts "context of culture" and "context of situation," the lat
ter mentioned above. Both have to do with how meaning is created by
language. A helpful redefinition of these concepts for linguistics has
been provided by J. R. Firth (1957b), one of Malinowski's students, to
express more satisfactorily how language means. According to Firth,
The context of culture is the environment for the total set of
[the options in behavior that are available to the individual
in his existence as social man], while the context of situation
is the environment of any selection that is made from within
them. (Hal 1iday 1974:49)
For Firth, then, the two types of context formulated by Malinowski pre
sent the distinction between what is potential and what is actual.
Again according to Halliday, "the context of culture defines the poten
tial, the range of possibilities that are open. The actual choice among
these possibilities takes place within a given context of situation"
(1974:49) Firths version consequently emphasizes the value of context
of situation for linguistics while at the same time implying that con
text of culture has little value for the linguist.
The great usefulness of the concept of context of situation, in
Firth's definition, for linguists lies in its stress on the typical


146
Neither analysis tells us much about peak sentences. Having an
unusual structure and being employed by speakers with relative
infrequency, they would seem to have special properties that we can
determine from considering their discourse context. We will consider
this context by asking two questions: Are the introducing deictics
of peak sentences anaphoric or cataphoric? How are peak sentences
distributed in discourse blocks?
As was indicated at the beginning of this chapter, deictics
frequently do not clearly refer to another portion of discourse. In
many cases they merely point. If we look closely at peak sentences,
it is usually quite difficult to determine in which direction the
initial deictics point. If we examine the entire exposition in
which 42 above appears, is the deictic "that" anaphoric or cata
phoric?
48) Fieldworker: In White Pine what do you do for a good time?
Informant: Without leaving White Pine? Watch TV. Maybe,
maybe walk back, you know, like one time, it's, you know,
peaceful back there in the barn, and like uh, like I said,
if you're standing back there by yourself in the barn, like
one time when I went back yonder, and you, I had, you know,
it's, it's not really a seat really. It's part of the manger
that comes out, and it's a hard position to get in cause you
got to sit with your legs way up in the air, but Kathy was
up here watching TV or doing something and uh, talking to
Momma, I guess, and, and I went back there that day. You
know, it's just a good thinking place or it's a good place
to relax. I mean you just set there and the cows, all the,
if you ever set close to a bunch of cows chewing, well, it's
just, you know, relaxes you. And then your dogs are all
laying in there, you know, a couple of cats, and the rabbits
are right outside. They're all peeking in at you, and that,
that's a good way, that's the best way I ever found to think
is just to walk back up through the woods or something like


62
Discourse Studies and the Approach of This Study
The decision to study the discourse level of oral expositions orig
inally derived from this writer's growing conviction that the construc
tion known as left dislocation, an often-used construction in speech,
could only be understood if its function were viewed as supersentential,
on the discourse level (Montgomery 1977a, 1978). If such a frequent but
little studied construction seemed to tell us something about how speak
ers organize their linguistic behavior, it seemed likely that other fea
tures and constructions of oral discourse should also be studied in
their discourse contexts. There is much to recommend the view that
oral expositions are preliminary to written ones. At least, understand
ing how speakers negotiate and structure ongoing expositions might im
prove our awareness of the communication system that people bring to the
writing process. Since linguists have for two generations made the case
that speech is primary and writing derivative, it seems crucial that a
study should begin with the structure of oral expositions rather than
written ones.
It is no longer necessary to justify the value of doing discourse
analysis, which may be broadly defined as the study of any segment of
verbal behavior larger than the sentence. Grimes (1975), the watershed
work in the field, has shown that discourse analysis is indeed possible
and that it rightly lies within the domain of linguistics (rather than
rhetoric or another field exclusively). Grimes' work is such a vast


126
indefinite. It may be specific, generic, or nonspecific indefinite,
but in only one instance, given below, out of 320 (in the set of 200
expositions) is it definite:
57) Because there's the Seventh Day Advents [sic], they have
their services on . (IV2-16)
Left dislocation and existential sentences thus complement one another.
The former usually does not introduce indefinites; the latter very
rarely does otherwise. Both can introduce specific indefinites. In
the following example, for instance, we see that the informant begins
the sentence with a definite NP. But when she realizes that she will
introduce a specific indefinite one instead, she does so with an exis
tential and not through left dislocation:
58) And now then the Smith, there's a handicapped boy that
lives in that building now, Kenneth Smith. (II12-2)
This xample shows a switch in strategy by the speaker. In the
data we find a number of sentences which begin with an existential
and then appear to be left dislocations, such as
59) And there was an old gentleman named Arwood, he lived down
the road just a little ways down there. . (X2-8)
which also involve specific indefinites and look like changes in
speaker strategy. They are well-formed constructions, however, and
we will look at them in detail at the end of this section. They
represent a fusion of left dislocation and existential patterns.


28
consider the dialect of the Southern Appalachian area distinct and
identifiable. One reasonable approach to the issue of whether the
term "Appalachian English" should be used is that of Wolfram, who
adopts the term and applies it to a "unique combination of linguistic
characteristics rather than . structures as such" (Wolfram 1977:
97). For him, Appalachian English refers to a common denominator of
non-unique features which ar still subject to variation for any given
district within Appalachia or for subgroups within such a district.
Since this study is designated as one on "Appalachian" speech,
this must now be justified and explained. This study does not inves
tigate linguistic features dealt with systematically in earlier studies
on the speech of the Southern Appalachian region or of the speech of
any other variety of American English. It thus lacks the comparability
of evidence required to distinguish the speech of White Pine as "Appa
lachian" solely on the basis of linguistic criteria, although nearly
all the features-phonological, lexical, and grammaticalusually
termed "Appalachian," as by Brewer and Brandes (1977), are found in
the speech of White Pine inhabitants. Nor does it adopt the design
ation solely on the basis of White Pine's geographical location. If
it did, "East Tennessee" would have been used. Rather, the speech of
the inhabitants of White Pine is called "Appalachian" because the
community is, ethnographically speaking, an Appalachian community, on
the basis of several of those salient characteristics which have long
been associated with Southern Appalachiaindividualism and self-
reliance, traditionalism, fatalism, and fundamentalist religion
(Ford 1962:1 Iff.).


113
would mix a half a teaspoon of sulfur and uh something like
a tablespoon of molasses, mix that sulfur in that. She said
there's nothing as good, and she was the, she was the doctor
of our family, I reckon, for she was always prescribing some
thing, you know. If we'd get anything, what to do. (uh-huh)
And uh, but now that sulfur, I mean, she said that purified
the blood, and so that, I didn't, 1 still don't understand
that. But I took a lot of it, I'll tell you. It didn't hurt
me. If it didn't help, it didn't hurt. (II12-36)
''Sulfur" subordinates and replaces "my aunt" as the thematic piece of
information towards the end of this passage.
As mentioned above, thirty-five of the 606 left dislocations repre
sent given pieces of information. When these thiry-five pieces of in
formation are dislocated, they are neither mentioned in the discourse
for the first time nor reintroduced after the intervention of a differ
ent thematic piece. They are not mentioned to bring something into the
forefront of a hearer's consciousness; they are mentioned to keep that
piece of information in the forefront. In other words, these disloca
tions represent especially emphasized pieces. In the following excerpt
"Mrs. Seabrook" is left dislocated the second time mentioned (obviously
for emphasis) rather than when she is introduced:
49) . .they had their own Black children went to this school (uh-
huh) and their Black teacher. And uh I'll tell you a teacher
that used to teach over there was Mrs. Seabrook. She died
two years ago, up here in this school. Oh Mrs. Seabrook, we
all liked her very much. She was, that was, that was a sit
uation that I thought that worked just fine when it came to
integration and all like that. (11-36)
"Mrs. Seabrook" is definitely not new information when it is dislocated.
Given NPs, when dislocated, are often accompanied by interjections such
as "oh," "why," "boy," and others.


135
9)And you know, that makes you feel awful good for a man to be
that nice to you, you know. (X2-16)
10) We had to meet a bus, so that was sort of inconvenient to get
to school, you know, . "! OII4-2)
There are 34 instances of extraposition with "that" in the data, about
half as many as with "it." We will examine more closely this use of a
deictic later in the chapter. There are countless additional instances
in the data of the employment of "that,"as in 11-13 below:
11) Take it up with your immediate supervisor or take it up with
your department head. That's the same way with complaints
within the city. (113-20)
12) That's been ten, eleven, eleven to twelve years ago now that
that was done, . (I13-9)
13) It took about, that took about three days to get the power
back, . (1X1-14)
In 12, "that" is used rather than "it" in a cleft sentence. In 13
we see the speaker changes strategies to use the stronger deictic
and more emphatically makes the point.
The deictic is more forceful than a pronoun, but the use of "that"
imparts greater tension because of the greater stress which normally
accompanies it. In examples 7-13 above, "that" carries more stress
than "it" would in the same context. A different and perhaps more
accurate way to look at the variation between the two is to say that
the speaker decides whether to give tension to a context. If tension
is given, then "that" is used. If it is not, then it" is used. It
seems probable that "it" under normal circumstances cannot carry stress.
In the next three sections we examine the form and nature of left
dislocations with "that," extrapositions with "that," and identifying


180
Vance, Rupert B. 1935. Human Geography of the South. Chapel Hill:
University of North Carolina.
Vance, Rupert B. 1962. The Region: A New Survey. In The Southern
Appalachian Region: A Survey, edited by Thomas R. Ford. Lexing
ton: University of Kentucky. 1-8.
Van Dijk, Teun A. 1972. Some Aspects of Text Grammars. The Hague:
Nouton.
Van Dijk, Teun A. 1977. Text and Context: Explorations in the Seman
tics and Pragmatics of Discourse. London: Longman.
Van Dijk, Teun A. and Janos S. Petdfi, eds. 1977. Grammars and
Descriptions: Studies in Text Theory and Text Analysis. New
York: Walter de Gruyter.
Walker, Ralph S. 1939. A Mountaineer Looks at His Own Speech.
Tennessee Folklore Society Bulletin. 5. 1-13.
Watkins, Floyd. 1949. The Southern Mountaineers; Archaic English.
Georgia Review. 3. 219-25.
Weatherford, W. D. and Earl J. C. Brewer. 1962. Life and Religion
in Southern Appalachia. New York: Friendship.
Weller, Jack. 1965. Yesterday's People. Lexington: University
of Kentucky.
West, John Foster. 1966. Dialect of the Southern Mountains.
North Carolina Folklore. 14. 31-4.
Widdowson, Henry G. 1977. Approaches to Discourse. In Grundbe-
griffe und Hauptstrdmungen der Linguistik. Hamburg: Hoffman
und Campe. 236-60.
Williams, Cratis D. 1961. Vowels and Diphthongs in Mountain
Speech. Mountain Life and Work. 37. 8-11.
Williams, Joseph Marek. 1966. Some Grammatical Characteristics
of Continuous Discourse. University of Wisconsin dissertation.
Wise, C. M. 1957. Applied Phonetics. Englewood Cliffs, New Jersey:
Prentice-Hall.
Wise, Mary Ruth. 1968. Identification of Participants in Discourse:
A Study of Aspects of Forms and Meaning in Nomatsiguenga.
Ann Arbor: University of Michigan dissertation.


BIOGRAPHICAL SKETCH
Michael Bryant Montgomery was born on May 15, 1950, in Knox
ville, Tennessee, and attended public school in that city, gradua
ting from Holston High as salutatorian of his class in 1968. There
after he entered Maryville College, Maryville, Tennessee, and gradu
ated cum laude with a Bachelor of Arts in English from Maryville in
1973. While pursuing a master of Arts in English at the University
of Tennessee at Knoxville, he determined to study linguistics. After
receiving his master's in 1975, he enrolled in the Program in Linguis
tics at the University of Florida to study for the doctorate. During
the 1978-9 academic year he was Instructor in English at the Univer
sity of Arkansas at Little Rock and coordinator of the Department of
English's Writer's Hotline Service. Beginning in the fall of 1979 he
will be Assistant Professor of English at Memphis State University in
Memphis, Tennessee. His favorite hobby is linguistics.
182


115
dislocated animate NPs to represent agents. On the basis of the data,
however, we find that left dislocated animate nouns are likely to be
agents only about half the time (215 of the 402 animate NPs, or 53.5
percent).
The large number of dislocated NPs which are inanimates or non
agents in exposition should not be surprising. Longacre claims that
in its deep structure expository discourse is subject matter-oriented
and not agent-, patient-, or addressee-oriented (1976:200). In a cor
pus of narratives, on the other hand, we would probably find a much
higher percentage of agents among dislocated NPs. Longacre also
claims that the subject matter orientation of exposition is generally
realized by equative and descriptive clauses (p. 202). If we examine
the 402 instances of dislocated animate nouns, we find that 94 of them
(23.4 of the animate ones, that is) are from such clauses.
Probably the large number of dislocated NPs which are animates
and agents in our expositions should not be surprising either. It is
much too simplistic to assume that any given genre of discourse con
sists primarily of just one or two types of clause. Also, we must
remember that discourses are frequently embedded into one another. In
our corpus' expositions, we frequently find embedded narrative and
other episodes which are person- rather than subject matter- oriented.
So far we have examined the kinds of NPs dislocated, their posi
tions, and their functions only with reference to the total number of
left dislocations identified in the corpus 606. An examination with


15
The Economic Life of White Pine
White Pine has made significant economic strides in the past two
decades and has undergone a thorough economic transformation in the
past generation, but it remains in many important ways undeveloped.
The percentage of its population below the poverty line (19.4) is well
above the national average (approximately 12). Host of its citizens
must look beyond the city limits for their livelihoods.
Fortunately the surrounding ten mile radius of White Pine has been
able to provide considerable employment opportunities for the last
three decades. This employment has not only stemmed but also largely
reversed the serious problem of emigration of the labor force which
plagued East Tennessee and White Pine in the 30's, 40's, and 50s, al
though it was not quite as severe as elsewhere in Appalachia, espe
cially in the coal mining regions of Kentucky and West Virginia. This
reversal has largely been accomplished through the benefits accruing
from the development of TVA. In the 1940's, Jefferson County's emigra
tion rate surpassed ten percent of its eligible adult work force, and
in the 1950's it was almost as high. But in the 1960's, immigrants
began to outnumber emigrants and the migration patterns underwent a
dramatic turnaround. In the 1970's, the county and especially White
Pine have seen a significant infusion of new residents and a decrease
in emigration. Employment prospects for incoming members of the job
market, although still limited, are better than twenty or thirty years
ago.
The dislocations brought about by the emigration over the years
have left their marks, though. White Pine has lost much of its Black


UNIVERSITY OF Fl-ORIDA
ML 7106


137
In a number of further instances, the use of "it" to copy the dis
located NP seems completely unacceptable, as in 18 and 19.
18) Classical music, we played a little of that when I . .
(XI-12)
19) ... a commercial blended whiskey or a Kentucky bourbon,
something like that would on, on the whole would be either
eighty to . (13-25)
In most instances of left dislocations with deictics, as in
20 and 21 below, the speaker has obviously chosen the deictic for
its more forceful, emphatic quality.
20) And of course, the housing project, they put that down
there. (V2-11)
21) The old Atchley house, now you saw that down at Leadvale.
(V2-22)
The left dislocations with deictics in our corpus represent the use
of two cohesive devices to introduce themes. The deictic enhances
the effect of the left dislocation.
Extrapositions with Deictics
In the usual transformational treatment of a sentence involving
extraposition, a clausal subject has been moved beyond the predicate
and replaced by "it," as in
22) It is possible that this sentence looks familiar,
which is the transformed version of
23) That this sentence looks familiar is possible.
In our data we find thirty four instances of extrapositions of
clauses in which "that" is used rather than "it" as the filler
subject of the transformed sentence. There are about twice as many
"it"-extrapositions in the data. Examples of extraposition with "that"
are


38
This study is based on a representative sample of forty infor
mants in a Southern Appalachian community of approximately 3,000 per
sons. It quantifies the linguistic features it examines both in terms
of which speaker used them and in terms of possible occurrence of the
feature (whenever possible). It controls the social situation in which
its data occur (see the discussion of the ethnographic parameters and
the role this fieldworker adopted for himself later in this chapter).
This study controls the task its informants were performing by elicit
ing only expository (explanatory and descriptive) discourses, and it
controls the linguistic context of its data by considering the sentence
and especially the discourse contexts of data.
Fieldwork Procedures
The fieldwork upon which this dissertation is based was carried
out over a period of about two months, from December 1977 through Feb
ruary 1978. The fieldworker/researcher spent most of his time in the
community of White Pine during this period. This section details the
process whereby he set up, undertook, and completed his fieldwork. It
also provides the rationale for the type of interview and the ethno
graphic parameters adopted. Altogether six weeks were devoted to the
actual interviewing, one week (in the field) to preliminary fieldwork,
and a period of several weeks to preparation before he reached the
fieldwork site.
Two steps were taken before the researcher reached the White Pine
site. First, an ethnography of the White Pine and surrounding areas was


92
thematized in sentences with inverted word order (pp. 214-5). In sen
tences 3 and 4 below, for example, a direct object and a temporal ad
verb are thematized:
3) These houses my grandfather sold.
4) Tomorrow John's taking me to the theatre.
Sentences with such inversions are very infrequent in our data, but Hal-
iday's general claim about the kinds of elements which may be themes
matches closely those thematized by left dislocation shown later in
this chapter.
The present study takes a step beyond Halliday by examinina how a
theme relates to a context beyond its immediate sentence, but our view
of theme is consistent with Halliday's. Nowhere does he state that a
theme's domain is bounded by its immediate sentence, and we may reason
ably infer that he would agree with our finding that theme plays an
important role in organizing a paragraph.
In the Prague School view, theme has to do with the information
structure of a sentence. The element(s) of a sentence which are
"given" (previously mentioned in a discourse) constitute that sen
tence's theme. The theme need not appear in initial or in any other
sentence position and a sentence need not have any given information.
If it does not, it has no theme (Firbas 1966:268). Danes and Firbas,
contemporary members of the Prague School, continue this tradition.
Firbas' view of theme, however, is much less similar to the one we
take here because it is explicitly confined to the limits of a sen
tence. His view is a refinement of the widely known theme-rheme


157
between the dislocated NP and the ensuing sentence. But an audible
hesitation often precedes the NP, however, and apparently aids a
speaker in introducing a theme into discourse. We include the
hesitation "uh" in the table on the following page, which lists the
variety of introducers for the 190 left dislocations.
One introducer in the list here, "like," deserves our special
attention. Below are three examples of it accompanying left dis
located NPs:
2) Like Brooklyn, you know their lingo. (V3-16)
3) And like Lisa Williams who lives down the street here, she
got me interested in it, . (V113-11)
4) Like my cousins, they had to go to South Carolina because
of the job situation. (XI-8)
Seventeen of the 190 NPs are preceded by "like" or "like" in combin
ation with another conjunction. Of the total of 606 left disloca
tions in the entire corpus, 29 are accompanied by "like." "Like"
is apparently restricted primarily to younger speakers, and it dif
fers in function from other introducers. Rather than accompanying
left dislocated NPs which initiate paragraphs, it creates units
which we will call "sub-paragraphs."
Although only eight of this study's informants were twenty-five
years old or younger, these eight used twenty-one of the twenty-nine
instances of "like." That is, twenty percent of the informants
account for 72.4 percent of the occurences. "Like" not only accom
panies left dislocation, however. In general, it is a conjunction
which introduces an example to elaborate a point a speaker has made.


155
beginning sentences. Conjunctions and other introducers are the surface
structure cohesive device which constitutes what a speaker uses to
stitch the parts of a message together into a discourse.
Although they do not by themselves introduce themes, conjunc
tions and introducers frequently begin paragraphs and usually
accompany left dislocated NPs which introduce paragraph themes. It
is shown in chapter three above that a speaker often uses a conjunc
tion or introducer to signal a hearer that one theme is being super
seded by another. In this chapter we examine the conjunctions and
introducers which accompany the 190 dislocated NPs in the 200
selected expositions used in chapter three. In particular we look
at the introducer "like" and suggest that it is a sub-paragraphing
device. For the most part our analysis is suggestive rather than
definitive. Because of this study's limitations, the functions
and distributions of conjunctions are not yet entirely sorted out.
It has been widely pointed out in the literature that para
graphs and discourses characteristically begin with certain intro
ducers in English and in other languages as well. Regarding oral
paragraphs Van Dijk says "A new paragraph thus indicates (sub-)topic
change. In spoken language we have pauses, intonation and specific
particles like 'now1, 'well', etc. to indicate such paragraphs.
Other languages have specific morphemes in order to mark beginnings
and endings of stretches of discourse. ." (1977:152-3). Longacre
states that "many languages have particles that indicate either the
beginning or the end of a paragraph" (Forthcoming:!17). He goes on
to cite examples from Huichol, Shipibo, and Capanahua.


107
operate on certain NPs, those indefinites which may be characterized
as [-specific], even though one major study (Gundel 1974) argues other
wise, in fact. Gundel argues for the acceptability of sentences with
nonspecific indefinites, as 35 and 36:
35) A misprint, the proofreader didn't see one.
36) A phone call, he didn't charge me for one.
but these judgments are entirely her own. Her analysis of the con
straints on left dislocation, based wholly on data not taken from actual
speech, contends erroneously that noun phrases which contain quanti-
fier-like determiners (with the exception of ONLY and EVEN) cannot be
dislocated (PP. 62-3). Many of the instances from our corpus, including
37 and 33 below, show this cannot be true:
37) Most of my friends, the people with whom I was raised, we all
went to church. (IVI-8)
38) Well, each, each section, I think they call vt a pod. (VI-6)
A non-data-based analysis thus can only guess at the constraints on left
dislocation. Gundel also goes for a sentence-domain treatment.
Obviously it is only a large corpus such as ours which can show
what kinds of NPs can be dislocated. There is no reason to believe that
nonspecific indefinites are thematized by left dislocation. It is shown
below that they are introduced by existentials when thematized.
Left dislocation, as we define it, involves a pro-word copy of the
NP which is thematized. There is evidence from our corpus that a
fronted [+definite] thematic NP need not have such a copy and that


158
Introduced s)
Frequency of Occurrence
0
39
and
31
and + ih
6
and + then
6
and + then + uh
5
and + of course
3
and + even
1
and + even + uh
1
and + why
1
and + wel1
1
and + uh + so
1
but
16
but + uh
4
but + now
2
but + as far as
2
well
13
well + uh
1
well + of course
1
well + now + then
1
like
12
and + like
3
but + like
1
now + like
1
and + then + of course
1
of course
4
why
3
now
3
as far as
3
because
2
uh + because
1
of course + uh
1
SO
1
so + uh
1
uh
7
oh
1
naturally
1
where
1
that + uh
1
you know
3
okay
1
yeah
1
most of the time, though
1
190
Figure 5.1 Introducers Accompanying Left Dislocated NPs


11
residential community. Until a generation ago, most people in White
Pine grew up on the farm, but with the coming of industry came rising
economic expectations and consequently a revolution of rising demands
for private residential housing. These demands have partially been met
by the parceling up of farmland into lots and a mobile home park, but
as another generation has grown up, it has become acutely obvious that
the town especially lacks social activities.
In White Pine the principal social institutions are the churches
(ten in the community), and more than likely any social get-together or
meeting will be church-sponsored. Although there are several organized
civic groups (Ruritans, Lions, Beta Sigma Phi) in town, there is little
regular social activity. The occasional special event (church revival,
political candidate speech) may attract a group of citizens, and the
annual Pine Festival is an event that meets some of the social needs of
the town.
The Pine Festival, sponsored by the local Beta Sigma Phi and begun
in 1967, is a one-day collection of shows, contests, and displays held
on July 4 each year. The festival has become the focal event of the
community's life because it is the one occasion when a majority of its
people take part. The festival integrates the community and gives it
a greater sense of self-identity than it has ever had because it is hea
vily patronized by people from surrounding counties and communities.
Although there is tremendous socioeconomic disparity between the
very rich and the very poor in the community, one finds little overt
residential segregation by economic status. As the thirty-nine-year-


51
16-19
20-39
40-64
65 and over
Total
Male
3
6
5
4
18
Female
3
5
8
6
22
As the sample was taken, care was exercised not to have too many in
formants from a given age group or from either sex. The fieldworker's
overriding concern, as he spent his time in the White Pine community
and had contact with all sectors of the population, was to interview as
wide a variety of its residents as possible. It was not his primary
goal to investigate social or subgroup differences in discourse organi
zation among his informants.
The breakdown of the forty informants according to their levels of
education
is as
2
follows:
8th
Grade
Some High
High School
Some College
College
or
Less
School
Graduate
Work
Graduate
Female
1
7
5
5
4
Male
3
5
1
6
3
According to the 1970 census, only 6.3 percent of White Pine's popu
lation depended on agriculture for its livelihood, while 74.1 percent
depended on manufacturing, trade, service, and finance industries.
Approximately 19 percent of the population was employed in construc
tion and all other areas. Following is a breakdown of the White Pine
sample according to their employment by type of industry. Three who
were unemployed are ignored.


103
and that it is derived from reduced introductory phrases such as "As
for. His analysis of the restrictions on left dislocation is in-
correct in the restriction to only one NP per sentence (cf. 23 above)
and to only main clauses.
An accurate account of left dislocation thus confounds those wish
ing to give it a sentential analysis. Any data-based account (and Ross
and Postal's are not) discovers that we must consider left dislocation
in its discourse context, that we must take more than the immediate sen
tence into consideration. This is especially true since the amount of
appositional information a speaker chooses to provide the hearer is in
determinate. Example 28 below shows the apposition may consist of sev
eral sentences; In it "there" refers to "at Rankin side. ."
28) Now over at the coal chutes, now where Earl Atchley was
raised, I mean over at Rankin side, there was a big coal
chute over there that furnished the coal for the steam en
gines, you know, and uh, well, we had the two stores here
before the lake come that furnished people, I mean, all of
the rural area. That's where we depended on our livelihood,
on such things as we didn't grow on the farm. Why, we went
to there, and uh. . (Ill2-6)
If the dislocated NP represents the thematic piece of information
of a paragraph, there should be an upper limit or threshold to the
amount of information constituting the apposition (in order for a
speaker to assume that the theme is still in the hearer's conscious
ness). This is a matter, however, of studying the limits of short-term
memory and of the cognitive basis of thematization and paragraph struc
ture. The relevant issues involved are reviewed by Van Dijk
(1977:155ff.).


31
devotes an entire chapter (1921:90-122) to analyzing their individualism
and views their self-reliance as a result of their extreme isolation.
Horace Kephart, who lived in western North Carolina the first two dec
ades of this century, characterizes the people as having "fiery indi
vidualism" and as being "non-social" (1922:382-3) and goes on to say
Except as kinsmen or partisans they cannot pull together. Speak
to them of community of interests, try to show them the advan
tages of cooperation, and you might as well be proffering advice
to the North Star. (p'. 383)
More contemporary observers, Weller (1965:29ff.) in West Virginia
and Hicks (1976:39) in western North Carolina, document the same trait
among the sections of the region they observed.
When one looks at White Pine, such comments have a remarkable
applicability. The people are basically non-social, sticking to small
groups, not often unified in acting except in opposition to a proposed
local change, on a special occasion such as Pine Festival Day, or with
in the small sphere of the kin group. Regarding their inability to
work together, a twenty-nine-year-old male resident of White Pine says
of his fellow citizens
They, they want to know, but they don't want to come out of their
shell long enough to get enough of it to expand. They fear ex
pansion. This town definitely doesn't, it, one day they'll be
shocked into the fact that Morristown will try to annex them,
and there will be a total bar-, that will be the common bond
that brings them together. They will be, that will be the sup
portive element would be to stand against some cause.
This does not contradict the statement above (p. 9) about the cohesive
ness of the community; it means the cohesiveness is passive and residual.


7
Jefferson County (1960 population 21,493, 1970 population 24,940)
lies in the ridge and valley section of the Great Valley of East Ten
nessee between the Cumberland Plateau and the Blue Ridge. Today it is
sandwiched between the TVA reservoirs, Cherokee Lake (the dammed Hol-
ston River) and Douglas Lake (the dammed French Broad River) built in
the 1930's. The county is one of the earliest settled areas of what
was to become the state of Tennessee. The Holston, which formed the
county's northern border, brought settlers in from the northeast,
from upper East Tennessee and from Virginia (through the Shenandoah
Valley), while the French Broad, which largely determined Jefferson
County's southern extent and which flows west from Asheville after
flowing north, routed newcomers from the east into the area. Many of
these had received dispensations of land for Revolutionary services.
The county's first white residents arrived in 1783, thirteen years
before Tennessee became a state. The county seat, Dandridge, was
incorporated in 1793.
Settlement in the White Pine vicinity goes back nearly two hun
dred years, as shown by the fact that two of its present-day churches,
Westminister Presbyterian and Beth Car Methodist, were first organized
in 1787. Although the town of White Pine was not incorporated and
named until 1893, it achieved the status of a community and the char
acter of a town (and was called "Dandridge Crossing") when a railroad
stop and a post office were established there shortly after the Civil War.
A number of today's White Pine residents can trace back their ancestries


34
Appalachian speech corresponding to usages in Spenser, Chaucer, and
especially Shakespeare. This creates the impression that the language
of the mountains is little more than a carryover from a bygone era and
another country. This is especially true when a commentator devotes
little attention to anything but such analogues.
One might go so far as to speak of a "typical" treatment of Appala-
chain speech in the literature. This is represented by Berrey (1940),
Bray (1950), Carpenter (1933), Combs (1916, 1931), Watkins (1949),
West (1966), and many others. The typical treatment contains the
following:
1) A brief description of mountain culture and of the mountaineer
himself, especially mentioning the most salient traits of his
personality and how he has adopted himself to his mountain
environment.
2) Discussion of various peculiarities of pronunciation, syntax,
vocabulary, usage, onomastics, and similes and other figures
of speech and expressions, with an effort to compare such with
Old, Middle and Elizabethan English whenever possible.
3) (Optional) A few remarks on how mountain speech is/has been
passing away, despite its expressiveness and color.
Coleman (1936) is a perfect example of this typical treatment. Her
first chapter points out the ancestry of the mountain people, shows how
they developed self-reliance in their isolated habitat, emphasizes the
fierce independence of their character, and shows the low position of
women in mountain society. In her second chapter, she covers a wide


169
that, (uh-huh) We have to answer a lot of calls down there and a
lot of neglected children and so forth and so on. (uh-huh) That's
the biggest problem, you know, with it.
F: What kind of town do you think most people around here want White
Pine to become?
I: I think a majority of the people want it to stay like it is. Uh
[Visiting ex-policeman filling out application: Nice, quiet, well-
run town.] Yeah, they, they don't like to see, especially your old
people. They don't like to see changes that would be major changes,
like uh I don't think that they'd want to see a housing project of
three or four times the size of that one go in, and I'm convinced
that they don't want to see too much industry, (uh-huh) I think the
statement was made, I won't say who made it, but a statement was
made uh some time back, 'sa year or so ago. We had a company, a
drug company, Davis Manufacturing, I think, that wanted to build a
sizable plant here in White Pine. I think one of the city officials
said "well, White Pine's a nice, quiet little town. Let's just
leave it like that." and the company didn't come in. So I think
that's the way most people feel about it. (hum) Course you, I
guess you'd have to look at the people that make the decisions on
the city, such as your aldermen and the mayor, (uh-huh) Uh they're
the people that says whether or not anything's going to be here or
not, whether the citizens like it or not, and I think most of them,
well, not, maybe not most of 'em, but the majority of 'em feel, uh
minority of 'em feel thataway, one or two of 'em anyway, (uh-huh)
They's just as soon it stay like it is or go back to like it was
years ago. I honestly feel that way.


136
sentences. Then the fourth structure mentioned earlier, peak sentences,
is examined in light of Longacre's ideas on the peak of expository
discourses/paragraphs. The form and especially the distribution of
peak sentences in expositions is studied. At the end of the chapter is
a short discussion of minor summary devices.
Left Dislocations with Deictics
As noted above, we find seventy four instances in our data of
deictics copying left dislocated NPs rather than pronouns. This rep
resents 12.2 percent of the total left dislocations but, more impor
tantly, approximately one-third of all potential cases. That is,
about 200 of the dislocated NPs in the data are inanimate. A close
look at the data reveals left dislocations for which deictics are the
only, or at least the preferred, copy. These seem to indicate that a
speaker does not always have the option of using either the stressed
deictic or the unstressed pronoun.
One such kind is the left dislocation of an NP from an identi
fying sentence (7 instances of this), as in 14 and 15:
14) But now in that enclosure, that was where the railroad
station was. (VI3-12)
15) Threshing floors, that's what they had. (II13-27)
When a subordinate clause is dislocated, as in 16 and 17, the deictic
seems to be the preferred copy.
16) To go to Morristown to buy a pair of socks, that was kind of
aggravating. (X3-12)
17) But to turn high, be real warm and then turn cold, that
hurts. (1X1-19)


APPENDIX A
LIST OF INFORMANTS
mfi
Informant No.
Sex and Age of Informant
Interview Code
1
Female, age 63
11, 12
2
Male, age 29
13, 14
3
Male, age 25
112
4
Male, age 30
mi
5
Female, age 70
1112, 1113
6
Female, age 72
IV3
7
Female, age 62
IV1
8
Male, age 30
113, 114
9
Female, age 54
1114
10
Male, age 60
IV2
11
Male, age 74
IV4
12
Female, age 59
VII
13
Female, age 82
VI3
14
Female, age 39
VI
15
Male, age 53
V3
16
Female, age 44
V 4
17
Male, age 43
VI2(l-3), VI4
18
Male, age 73
VI2(4-30)
19
Female, age 17
VIII
20
Female, age 16
VI13
21
Female, age 43
VI12
22
Male, age 74
VI14
23
Male, age 17
VIII1
24
Female, age 85
VI113
25
Male, age 17
VI112
26
Female, age 39
VI114
27
Male, age 26
V2
28
Female, age 17
XI
29
Female, age 50
X3
30
Male, age 48
X4
31
Male, age 76
X2
32
Female, age 87
1X1
33
Male, age 34
1X3
34
Male, age 60
1X2
35
Female, age 76
1X4
36
Male, age 18
XI2(1-12)
37
Female, age 30
XIII
38
Female, age 28
XI2(13-8)
39
Female, age 53
XII
40
Female, age 33
XII
Informants are listed in the order interviewed. Code numbers refer to
pages of typed transcripts of interviews.
163


4
(1966, 1972) has controlled the first two by adopting random sampling
techniques and quantitative analysis of his data. He has controlled
the third by deliberately eliciting several different speech styles
(four in his New York City investigations). And he has taken into ac
count the sentence context of data by devising the variable rule (Labov
1969). The present study, however, controls both the task context and
the discourse position context. Recent studies in the ethnography of
communication approach take the task and discourse position into ac
count but tend to ignore the others.
This study, in investigating a selection of surface structure co
hesive devices, found that they were to a significant extent used by
speakers to communicate thematically unified blocks of information to
hearers and that they reflected the grammatical structure of para
graphs. This confirms the hypothesis that oral expository speech
(Southern Appalachian in particular) has describable paragraph and
discourse structure.
The White Pine Setting
The small East Tennessee hill town of White Pine (White P'ne to
its inhabitants), in which the interviews for this dissertation were
conducted, is no longer the rural village it was only a little more
than a generation ago, and no longer is farming the principal occupa
tion of its residents. Today the town of White Pine is primarily res-
idntial, a "bedroom" community (in 1970, eight times as many of its
people derived their livelihoods from manufacturing as from farming),


33
The traditional way and pace of life in the community have been con
sidered as something of a birthright. Many other things, such as po
litical and religious affiliations, are also considered immutable
birthrights. Many wish keenly to pass all this on to the next genera
tion.
Little additional commentary here (see pp. 17-20 above) is needed
to show how applicable is the fourth characteristic trait Ford studied,
fundamentalist religion, to White Pine. The community has no non-fun
damentalist churches and the great majority of its citizens are church
members. Religious fundamentalism is probably the most powerful and
pervasive force in the community.
With reference, then, to the four characteristic traits Ford claims
to be consistently typical of Southern Appalachian people, it is obvious
that White Pine should be considered a typical community in the region.
The Study of Appalachian Speech
As Wolfram notes, Mencken once pointed out that the speech of the
Southern mountains had been studied more than that of any other region
except New England (Wolfram 1977:92). However, the sum total of lit
erature on Appalachian English does not actually tell us much about how
people in the region speak. At best, most of the literature is little
more than anecdotal, dealing with a scattering of exotic words and pro
nunciations, many of which indeed are archaisms. Very few writers have
actually asserted that Shakespearean English is or was spoken in the
mountains. But many have taken extreme pains to indicate usages in Ap-


117
one-fourth of the potentially dislocatable NPs are dislocated. In
addition, the subset of animate themes were counted to see if a
higher percentage of them were dislocated than inanimate ones. If
they were, this would have indicated that left dislocation is a
character-introducing device. It was found, however, that a slightly
lower percentage (33 of 160 instances, or 20.63 percent) of the ani
mate NPs were dislocated than the inanimate ones (26 of 120, or 21.67
percent).
Although the constraint is slightly stronger with names, it is
apparent that the overriding factors accounting for left dislocation
are the functions we have discussed (contrastiveness, emphaticness,
newness especially), given that the NP is thematic. At least for our
corpus of expositions, it makes no significant difference whether the
NP is animate or not.
Relationship to Subsequent Discourse
It has been seen that left dislocation is a device which usually
introduces new information into the stream of discourse. Also it has
been shown that left dislocated NPs may initiate an anaphora chain and
represent the information around which subsequent discourse is orga
nized. But how typically do such NPs do this? Before it is concluded
that left dislocation is a thematic device which normally organizes
paragraphs, we must see whether the discourse beyond the immediate sen
tence where the left dislocation occurs is still oriented around that
NP. If left dislocation introduces themes, it should be atypical for


129
We have seen that left dislocation and existential sentences
have different ranges of functions but that both introduce new, the
matic information into discourse as a rule, albeit of different kinds.
A close look at our White Pine reveals a number of sentences which
combine left dislocation and existentialization. In such sentences
the differences between the two disappear, as in sentences 64-6 below:
64) There's not a teacher I don't think up there that I wouldn't
want my child to be in their room. (VI-4)
65) But they's some people I wouldn't want 'em to grow up in
White Pine like it is. (VIIII-23)
66) There are people in this town that I would love to step on
their face. (VIII4-24)
On balance, these sentences seem less like left dislocations than ex-
istentials. In these we do not find the characteristic juncture
which follows a left dislocated NP: a slight pause and level or only
very slightly falling intonation (in contrast to the falling tone char
acteristic of the end of a declarative sentence). But in seventeen
instances in our corpus as a whole there are sentences such as 67-9
67) I know they was some people uh, their cars got stalled between
here and there. (XI1-6)
68) And there was an old gentleman named Arwood, he lived down the
road just a little ways down there. . (X2-5)
69) Well, there was a lady lived in this community, she was an
educated somebody, a school teacher. (1X1-29)
in which an NP is existentialized and then copied by a pronoun and
which have the characteristic juncture between the NP and the rest of
the sentence. On these NPs steady pitch is maintained and does not


79
paragraph formulae, as we will see below) which constitute such enti
ties are ordered linearly, and he posits a tagmemic formula for each
major and minor type of paragraph in Longacre (1968).
As Becker (1965) rightly points out, the description of paragraphs
as grammatical entities owes much to traditional rhetoric. Longacre's
and especially Becker's formulae for expository paragraphs resemble
closely long-employed formulae for paragraph development in rhetoric
texts. Becker's contention is that the majority of expository para
graphs are organized grammatically in either a TRI (Topic-Restriction-
11 lustration) or a PS (Problem-Solution) fashion.
Longacre's major contributions to the study of the grammar of para
graphs lie in the aforementioned formulae and in his systematic delinea
tion of paragraph types (Longacre 1968) and discourse types (Longacre
1968, 1976) on the original basis of studying paragraphs and discourses
in twenty-five Philippine languages and dialects. His general formula
for the tagmemes constituting explanatory paragraphs in the various
languages is3
iPRELIM (+TEXT EXP0 TREASON RESULT ^WARNING) ^TERMINAL
(1968:109)
With TEXT as the only obligatory tagmeme, this formula can clearly ac
comodate an indefinitely large number of different patterns, since EXPO
(exposition) "can occur an indefinite number of times in paragraphs"
(p. 109). Longacre views TEXT as "much like the topic sentence of tra
ditional rhetoric" (p. 109). We take the formularization of the gram
mar of general paragraph types to be a desirable goal, but it is not


70
The concern of chapter five is an eighth type of deviceconjunc
tions and introducers, insofar as they occur in a set of 200 of the
corpus1 expositions. A rough taxonomy of the most frequent conjunc
tions accompanying left dislocation is presented. Finally, some ob
servations about subparagraphs, especially introduced by "like," are
made.
Longacre and Levinsohn thus elaborate eight types of surface
structure cohesive devices. Our object here is to show that, for one
corpus of English, four of them make complete sense only if viewed in
a discourse context. Although we examine the underlying regularities
of several of the specific devices (left dislocation and deictics which
participate in peak sentences, especially), our primary aim is to de
termine their distribution and function(s) across extended texts, which
also shows their periodic character. This periodic character reflects
the paragraph nature of spontaneous oral expositions. To a significant
degree, surface structure cohesive devices implement the grammatical
units of paragraphs, especially the theme and peak.
For convenience, parts of the analysis are performed on a subset of
the corpus' expositions, a random selection of 200 sample expositions,
five from each informant. In some cases, the analysis is based on a
smaller set of 80 expositions, two from each informant.
Based on the expositions of forty people, our findings have a
broad generality with respect to the community investigated, White
Pine, Tennessee. It might reasonably be asked why so little concern


80
clear yet how tightly one can be devised for expositions in English.
Longacre's quest for a formula for the linear organization of para
graphs serves as a practical model for us; our study focuses on two of
the units Longacre posits in his formula for expository/explanatory
paragraphs.
Longacre has revised his views on two of his units (or tagmemes,
as he called them in 1968), Text and Peak. Originally likening Text
to a paragraph's topic sentence, he indicates that the obligatory unit
in a paragraph is the theme, that piece of information which a para
graph is "built around" and which, for an expository paragraph, "is not
different in kind from a thematic participant" in a narrative para
graph (Forthcoming: 118). The distinction betv/een a topic sentence and
a thematic piece of information is an invaluable one; especially it is
the piece of information (a participant or whatever) which, through an
anaphora chain, gives thematic units to a paragraph. This most recent
view of Longacre's that a paragraph has an obligatory theme is consis
tent with the one we maintain here.
In his earlier view, Longacre considered Peak to be only one as
pect of Text. He states that Text "is the PEAK grammatically and lex
ically of its paragraph. As PEAK of its paragraph the TEXT contrasts
in placement with the PEAK (BUn or STEPp) of NARRATIVE and PROCEDURAL
PARAGRAPHS which come later in the paragraph" (1968:109).^ In a later
work, he indicates that Peak is the plot-like element optionally pres
ent in non-narrative as well as narrative paragraphs (Longacre 1976:
228-9). It comes near the end of and represents a kind of climax or


Copyright 1979
by
Michael Bryant Montgomery


105
New information may be either definite or indefinite; if indefi
nite, it may be specific, nonspecific, or generic (see Stockwell et
al. 1973:67-95 for discussion of these). In the view of Li and Thomp
son (1976), a left dislocated NP represents the "topic" of a sentence,
the part of a sentence regarding which the rest of the sentence makes
a "comment." Although they avoid considering topics in their dis
course contexts, they maintain that across languages topics are always
either definite or specific NPs. They state that "one of the primary
characteristics of topics, then, is that they must be definite"
(1976:461). Givon agrees with this characterization of topics and
points out that they also cannot be referential-indefinite" (1976:154).
Here we view left dislocated NPs as discourse themes rather than sen
tence topics. But the left dislocations from the White Pine data agree
closely with their characterization of topics.
The overwhelming majority of the 606 instances of left disloca
tion in our corpus are of definite NPs. The themes which are left dis
located are so often [+definite] that it can be said without reserva
tion that left dislocated NPs are normally definite. In a relatively
small minority of cases they are generic, as in sentences 29 and 30
below:
29) Yeah, a funeral to me, it's not for the dead person. (XII-18)
30) Children,, if they. took a cold, why they'd make 'em- some
boneset tea.' fl 112-34) 1
Or they are specific indefinites, as in 31 and 32:


108
therefore left dislocation is one type of a more general construction.
Our corpus has 61 instances of constructions without the copy, and
these are of two different sorts. One such construction involves the
repetition or embellished repetition of the fronted NP, as in 39 and
40 below:
39) Well, this town, I love this little old town. (112-31)
40) And then Tate Springs, I know you've heard of Tate Springs.
(IV1-10)
These sentences show that a speaker may choose to repeat a fronted NP
rather than use a copy. Example 41 and 42 show a second construction
a speaker may employ. Here a theme is announced, and its second ref
erence is a paraphrase of the first.
41) And our uh supermarkets, we have two or three nice grocery
stores now. (II14-17)
42) Uh housing, seems like everybody has a new house, you know.
(V4-15)
Such patterns do not relate the fronted NP to the rest of the sentence
syntactically in the same way as left dislocation does. But they re
semble left dislocation in introducing a new piece of information, a
potential theme, into discourse. Also the intonation of such patterns
is identical to that of left dislocations.
As mentioned earlier, left dislocations are obviously not repaired
sentences representing a speaker's second attempt at phrasing. Nor are
the paraphrasing patterns of embellishing or narrowing down an NP such
repairs. In all examples with fronted NPs we find a characteristic


101
The dislocation of two NPs from one sentence, as in 23 above, is quite
rare (two instances in the data). Since we contend in this chapter
that left dislocation introduces new themes into a discourse and that
only one theme occurs per paragraph, it might be asked whether these
double left dislocations introduce two themes and are thus counterex
amples to our contention. Such sentences are clearly not counterexam
ples, however, once their contexts are examined. The context of sen
tence 23 shows that "rural areas of Tennessee" is not a theme newly
introduced by the dislocation in that sentence.
24) . .Uh each community has its own brogue, its own way of com
municating uh to one another, and uh I know, I hear this cri
ticism all the time. Well, the people in, in the small towns
are, are illiterate. Uh they're not polished. They're unedu
cated, they're uncouth, uh which is really not so. Uh we have
some very brilliant people in, in the small rural areas of
Tennessee. Uh some of these very people who would criticize
uh the rural areas of East Tennessee, their ancestors came out
of them, and in many ways they're criticizing their own back
ground, their own family tree. (X4-11)
In this case we have two pieces of information very closely bound togeth
er, but this sentence represents a shift in theme. The new theme is
clearly "some of these very people. ."
Left dislocation sometimes involves a clause intervening between
the NP and the sentence itself. In these instances the speaker appa
rently chooses to provide further information or background so that the
dislocated NP may be clearly understood by the hearer. This apposi-
tional kind of information may be a restrictive relative clause, as in
22 above or in 25 below, or it may be an entire sentence or two of in
tervening information, as in 26-7:


168
the sewer, the water, and the recreation. It was pretty bad,
and they worked very hard in uh doing the things of this type.
We've got a couple of hundred thousand dollars for recreation,
which we've got a new swimming pool we hoping to open this spring
(uh-huh) or early summer, and uh mostly things like that. Recre
ation, streets, water, sewer, and so forth and so on. (uh-huh)
That's been the major changes since I've been here.
F: Has the truck stop going up out there had any effect on town? If
so, what kind of effect?
I: I think it's had very little effect. Now, Roadway uh Trucking Com
pany has put a uh terminal, not a terminal, but a uh I guess you
could say an intermediate or a mid way changing point out there on
the Interstate. Now, it's brought quite a few families into uh, I
would say in the last six months to a year, it's brought ten,
twenty new families into the city of White Pine alone, (uh-huh) and
uh I think Roadway Trucking has had a small impact on the city, as
far as its growth is concerned. I don't, I can't see that the
truck stop has had any. I'm sure it's had some, but I would think
a amount small enough that you really wouldn't recognize it.
F: Hmm. What about the new housing project that's gone up?
I: Well, now it's was built when I came here. Just, they had just com
pleted its (yeah) and uh it gives us a lot of problems. You're
talking about the low-rent?
F: Uh-huh.
I: It gives us a lot of our domestic problems. Uh of course, you can
understand why. You have the type people that live there that do


118
such NPs not to be the center of a subsequent discourse organization.
But it is also necessary to define the relationship between left dis
located NPs and the portions of discourse which follow them. To de
termine this, we look at the subset of 200 expositions from the cor
pus we also used for earlier analyses.
In the 200 expositions, there are 190 instances of left disloca
tion. Over two-thirds of the left dislocated NPs are thematic. They
constitute the central bit of information around which the message is
organized beyond one sentence. There are good reasons for the remain
ing themes of only one sentence, a point to which we return below.
More than one-half of the total (97 of the 190) are thematic for at
least three sentences. Figure 3.1 on the following page summarizes the
extent to which the 190 dislocated NPs are thematic and how many are
thematic to each extent.
Figure 3.1 shows that left dislocated NPs may be thematic for
quite extensive lengths; nearly one-tenth of the 190 instances are the
matic for at least ten sentences. The greatest extent to which one is
thematic is for thirty-eight sentences.
As a thematic device, left dislocation represents a speaker's
strategy of presenting to a hearer what an ensuing block of discourse
will be about. It seems unlikely that a speaker would signal the in
troduction of a theme by such a device which would turn out to be the
matic for only one sentence without there being overriding reasons for
doing so or an explicit signal that such was the case. Once a theme
has been introduced, it seems likely that it would be maintained for


APPENDIX B
SAMPLE INTERVIEW
In order to exemplify the interview techniques employed in this
project, a long portion of a sample interview is here presented. It
is the interview with the thirty-four-year-old police chief of White
Pine, a native of Greene County, Tennessee, and a resident in White
Pine for three years. The code letters "F" and "I" here refer to the
fieldworker and the informant turns in the interview.
F: Well, just in your three years here, have there been major changes
in the way you've had to go about law enforcement in this town?
I: Well, I can't really answer that other than this way. The people
that I talked to, and this includes the city fathers, so to speak,
and the businesspeople, said there's a one hundred difference. Uh
for instance uh they used to congregate in the shopping center and
they'd pass their marijuana around or their pills or whatever,
just from one car to another, and uh they'd rip up and down the
highways. Well, since I've been here, we've got a speed gun. We
cut that out. (uh-huh) We cut the drug problem out in the shop
ping center. We don't allow no loafing at all uh once the busi
nesses are closed. (_hmm) People park their cars and leave them.
Fine. But they don't set in 'em. Uh that was a change we had to
make, so uh, uh to answer your question, as far as the citizens
of White Pine is concerned, they's been a tremendous change. We
just had to set our foot down, get a little tighter. The police
officer that was here, and he was just a one-man department, he
164


53
In the White Pine community, only 1.7 percent of the population
was non-White in 1970; none of the forty informants for this study,
it happens, were non-White.
Transcription Procedures
The approximately forty-five hours of field tape recordings are
the primary documents for this study and are viewed as the ultimate
authority and repository for the data upon which this study is based.
All forty-five hours of interviews were transcribed by the fieldworker/
researcher himself. The transcription was done in slightly modified
orthography in order to result in as close to exact a form as possible
of what the informants said. As Labov (1969, 1972) has shown, careful
transcription is as important in considering grammatical features
as it is for phonological ones.
It must be realized, however, that any transcription can never
be more than an imperfect representation, and an interpretation as well,
of what is on tape. This is certainly true when a transcriber attempts
phonetic or a modified phonetic transcription, and it was true in the
present case when the transcriber had to determine the presence of cer
tain deletions and especially when he tried to be consistent in punc
tuating a transcript or in ascertaining sentence boundaries. A tran
scriber quickly recognizes that deictics and especially conjunctions
mark the beginnings of sentences. But an informant's pausing and pacing


160
other words, "like" seems to signal a size of unit which may be larger
than a sentence but is smaller than a paragraph.
In lieu of a readier term, we adopt "sub-paragraph" to refer to
such a unit intermediate between a sentence and a paragraph. The sub-
paragraph is a supersentential unit in which a theme is not fully de
veloped. Though a sub-paragraph has a theme, it does not have the the
matic nature of a paragraph. -There is no reason to believe that "like"
is the only sub-paragraph introducer, of course. Although they are not
examined here, the phrases "of course" and "you know" seem to operate
in the same manner as "like."
In this chapter we have briefly indicated that conjunctions and in
troducers play important roles in discourse. They piece paragraphs and
discourses together. They initiate paragraphs and discourses, espe
cially when assisting left dislocation in signaling to a hearer that a
new theme is being introduced. Conjunctions then are not only inti
mately involved in the linear structure of the stream of discourse, but
also in indicating new prominences and changes of direction and in ac
companying the beginning of new paragraphs. They are clearly an impor
tant device in both the hierarchical and the linear structure of dis
course.


174
East Tennessee Development District. 1972. County Census Summary:
Jefferson County, Part I. Report No. ET-SS-9g-71. Knoxville.
East Tennessee Development District. 1973. County Census Summary:
Jefferson County, Part II. Report No. ET-SS-13b-73. Knox
ville.
East Tennessee Development District. 1977. Food Stamp Survey,
1976: A Summary Report. Report No. 163. Knoxville.
Firbas, Jan. 1966. On Defining the Theme in Functional Sentence
Analysis. In Travaux Linguistiques de Prague: Volume I, edited
by Joseph Vachek. Tuscaloosa: University of Alabama. 267-80.
Firth, J. R. 1957a[1935]. The Technique of Semantics. Reprinted
in Papers in Linguistics 1934-51, by J. R. Firth. London: Ox
ford University Press. 7-33.
Firth, J. R. 1957b. Ethnographic Analysis and Language with Refer
ence to Malinowski's Views. In Man and Culture: An Evaluation
of the Work of Brontislaw Malinowski, by Raymond Firth. New
York: Harper and Row. 93-118.
Folmsbee, Stanley J., Robert E. Corlew and Enoch L. Mitchell. 1969.
Tennessee: A Short History. Knoxville: University of Tennessee.
Ford, Thomas R., ed. 1962. The Southern Appalachian Region: A Sur
vey. Lexington: University of Kentucky.
Gastil, Raymond D. 1975. Cultural Regions of the United States.
Seattle: University of Washington.
Givon, Talmy. 1976. Topic, Pronoun, and Grammatical Agreement. In
Subject and Topic, edited by Charles N. Li. New York: Academic.
149-88.
Glassie, Henry. 1968. Patterns in the Material Folk Culture of the
Eastern United States. Philadelphia: University of Pennsylvania.
Gleason, Henry, n.d. Some Discourse Features. Manuscript.
Goldstein, Kenneth S. 1964. A Guide for Field Workers in Folklore.
Hatboro, Pennsylvania: Folklore Associates.
Grimes, Joseph E. 1971. Kinds of Information in Discourse. Kivung.
4. 64-74.
Grimes, Joseph E. 1972. Outlines and Overlays. Language. 48.
513-24.
Grimes, Joseph E. 1975. The Thread of Discourse. The Hague: Mouton.


85
tells how to do something; and hortatory discourse endeavors to bring
about a change of some kind.
The major parameters along which these four genres are distin
guished are shown in Figure 2.1 on the following page and adopted from
Longacre (1976). The rows in this figure distinguish those genres
which are +succession (having a sequence in time) and those which are
-succession (lacking a sequence in time). The columns distinguish the
+projection (occurring in the future) from the -projection (those hav
ing accomplished time or in which the time frame is not focal) genres,
longacre's scheme further indicates the person orientation of each of
the four genres.
According to Longacre's typology, narrative discourse characteris
tically involves a sequence in time, occurs in an accomplished (past)
time frame, is agent-oriented, and is related from the first or third
person point of view. Procedural discourse also involves a sequence in
time, but occurs in a projected time frame, is patient-oriented, and is
not related from the point of view of a specific person. Hortatory
does not involve a sequence in time, is set in projected time, is ad
dressee-oriented, and is related from second person point of view. Hor
tatory discourse strictly speaking does not have a time frame but a
modesince the speaker is wishing or urging that something take place.
Expository discourse need not involve a sequence in time nor does it
necessarily have either an accomplished or a projected time frame (time
is not focal). Expository discourse is subject matter-oriented and has
no necessary person reference (point of view). It is essentially im
personal and may involve either inanimate or animate entities. If


132
really happened to us."); and 4) what we call peak sentences (as in
"I guess that's all we can expect out of life is a living."). The
latter two structures are frequently used by a speaker to summarize
a block of discourse.
We are concerned with only the two deictics "this" and "that" in
our data. Generally speaking, "this" may be either anaphoric or cata
phoric, although usually the latter. "That" very rarely is cataphoric
We see, in the following examples from the data, that the two deictics
usually point in opposite directions:
1) He really means to do good. This was one thing about the
Kennedies. They had definite goals that they were going to
try to, . (113-33)
2) So this is a Knoxville man that come to Morristown, and I, I
went out there to see him. . (V1113-18)
3) Well, industry I'd just as soon stay out anyway. As far as,
you know, all industry's doing's polluting the air and
ruining the environment and, you know, that's, like the big
city, that's another reason I wouldn't want to live in a big
city. ~Tv2-13)
In the first example, "this" points forward to a point the speaker
wishes to make about the Kennedies. In the second example, the
speaker uses "this" to point forward to an individual she is giving
information about. Although she had earlier mentioned him, in this
sentence she indicates he is from Knoxville, a new piece of informa
tion which "this" points forward to. In the third example, "that"
makes a broad reference backward to the effects industry has on cities
according to the speaker.
These two deictics have much in common with pronouns. Both deic
tics and pronouns participate in anaphora chains, and both are referen
tial to other parts of a discourse. But the reference of deictics


123
The remaining two instances of the sixty-one which are thematic
for only one sentence involve a speaker's change in perspective. This
is signaled by a phrase such as "I think" revealing an explicit first
person statement. One of the two instance follows:
54) . .and the others, you know, we might draw them into our
group, and again we might not. We'd make a really good
sociological study, I think. (XI2-14)
The kinds of devices used by speakers in our expository monologues
to indicate a change in theme after one sentence are exactly the same
as those used after longer discourse blocks unified thematically. The
only difference is that we find a greater variery of conjunctions if
we look at 190 instances.
For about a third of the cases (62 of 190) we find an explicit in
troduction of a new theme, thirty-three times by another left disloca
tion, sixteen times by an existential sentence, and thirteen times by
the introduction of another character into the exposition. In forty in-
tances of the 190 the theme discontinues because the end of the mono
logue is reached.
The most common conjunctions used to indicate a change in theme for
the 190 cases are the same as were found for the 61 above. Several con
junctions not found (e.g. "anyway") for the sample of 61 instances ap
peared, and there are several instances among the larger sample of com
binations of conjunctions, as "and then of course" for the example be
low, which intensify the speaker's signal:
55) Uncle John Harrison, he uh run that livery stable. And then
of course, they did away with that part of it. . (VI3-13)


60
Notes
1. The choices of the community to work in and of the contact persons
were entirely practical ones. This writer's brother-in-law is a
native of White Pine and his brother-in-law's parents are longtime
residents there. It is they who were chosen to be the primary con
tact persons since they knew nearly everyone in White Pine and could
assist the fieldworker in making the necessary initial contacts.
More important than facilitating contacts, however, was that his
family relationship with the contact persons enabled people in White
Pine to identify him with people they knew well.
2. The category "Some College Work" includes all informants who had any
kind or length of post high school education, such as business or
other vocational school. According to the 1970 census, only 6.8 per
cent of the residents of the White Pine division of Jefferson County
(figures are not available for the town of White Pine itself) over the
age of 25 had attended some colleqe. However, three factors account
for a high percentage (45 percent) of this study's sample having col
lege work: 1) the census area (with 2,085 people over 25) includes
rural area whose residents have a lower averaqe educational level
than do the town's residents; 2) in 1970 a junior college opened five
miles from White Pine; it has attracted many part-time students, and
informants having attended as few as one or two courses are classi
fied as having some college work; and 3) nearly all this study's in
formants who enrolled in college for a short time dropped out (for
many in this generation, "trying a quarter of college" was the ex
pected bridge from high school to the workaday world).
3. This same view, that the fieldworker must be willing to be a sales
man, was expressed to the researcher by Vance Randolph, the dean of
American folklore collectors, in a personal conversation with the
writer on December 11, 1978, in Fayetteville, Arkansas.


CHAPTER IV
DEICTICS AND SUMMARY DEVICES
General Remarks
In this chapter we consider two additional surface structure
cohesive devices, deictics and summary devices, which Longacre and
Levinsohn suggest as crucial to an investigation of the organization
of discourse. They indicate that deictics (words with a specific ref
erent which point elsewhere in discourse, especially the demonstra
tives "this" and "that") are frequently used in languages to keep
track of a discourse's participants. They indicate that summary is an
important "type of paraphrase which makes use of very generic predi
cates and substitutes" (1978:108). The two devices are considered to
gether because, for our data, a speaker usually employs a deictic in
summarizing, as in identifying sentences such as "That's what I
meant."
As a structure which points, a deictic may be either endophoric
or exophoric. If endophoric, it points elsewhere within a text; if exo-
phoric, it points outside a text. An endophoric deictic may be either
anaphoric (pointing backward) or cataphoric (pointing forward). In this
study we will examine only endophoric deictics and specifically will ex
amine their use in four different structures: 1) left dislocation with a
deictic as the pronominal reference (as in "Sulfur and molasses, that's
another thing"); 2) extraposition of a subject (as in "That wasn't pos
sible to get there"); 3) identifying sentences (as in "That's what
131


151
That we should find structures in discourse like peak sentences
which mark the peak of a speaker's relation of information to a
hearer is pointed out by Longacre and Levinsohn (1978:108). More
than a decade ago, in his Philippine study, Longacre indicated that
paragraphs may optionally have units called "peaks" around which
an entire paragraph is focused. His views on the nature of peak
have evolved somewhat since 1968, but his latest comments on peak
(Longacre and Levinsohn 1978:105) apply perfectly to the function
in discourse of what we have been calling peak sentences.
In his 1968 work Longacre did not distinguish peak from text
(the one obligatory unit in the grammar of any explanatory para
graph). Considering peak as only one aspect of text, he states
(p. 109) that text "is the PEAK grammatically and lexically of its
paragraph." In Longacre 1976, he comes to view peak as an optional
unit of exposition but believes that much good exposition, in
exhibiting a tension or progress toward a clear exposing of a
subject, is characterized by having a peak. He views (p. 228) peak
in exposition as analogous to climax and denouement in narrative and
goes on to explain
It seems evident to me that an expository discourse of the
better sort reflects a certain struggle, a struggle to achieve
clarity in the face of recalaitrant elements in the subject
itself and possibly in the lack of background on the part of
those who are to hear the discourse. Exposition of the better
sort is able to clarify the main outlines of its subject in
spite of these difficulties within the subject matter and
within the receptors. ... It would seem therefore that an
artful expository or hortatory discourse will have a meaningful
cumulative thrust. This should correlate in at least some
discourses with a marked surface structure Peak. I believe
that of the various devices open for marking of surface struc
ture Peak in expository and hortatory discourse, rhetorical


Page
Identifying Clauses with Deictics 139
Peak Sentences 143
CHAPTER V CONJUNCTIONS AND INTRODUCERS 154
CHAPTER VI SUMMARY AND CONCLUSIONS 161
APPENDIX A LIST OF INFORMANTS 163
APPENDIX B SAMPLE INTERVIEW 164
BIBLIOGRAPHY 172
BIOGRAPHICAL SKETCH 182
v


84
Lonqacre's Typology of Discourse Genres
It was indicated in chapter one that for practical reasons the
fieldworker chose to elicit expositions rather than other types of oral
discourse in the White Pine community. It was apparent that exposi
tions were the type most readily elicitable from the cross-section of
people that he wished to interview. Also it was decided that the col
lection of a large corpus of expositions rather than smaller corpora of
two or more types of discourse would be more conducive to generaliza
tions about expositions.
That exposition is a distinguishable discourse type is not an ad
hoc presumption on our part. It is a hypothesis based on the typology
of discourses developed by Longacre (1968, 1976). In his study of
twenty-five languages and dialects in the Philippines, Longacre and his
colleagues undertook the basic spadework of sorting out which discourse
types could be described across the languages studied. The typology of
discourses which resulted has provided a practical framework for fur
ther investigations with other languages, as this study is an investiga
tion into the English of the Southern Appalachian region.
Limiting himself to prose monologues, Longacre indicates that four
genres of such monologues (narrative, expository, procedural, and hor
tatory) have common characteristics cross-1inguistically and that
5
within any given langauge there are a finite number of other genres.
We may characterize the four main genres as follows: narrative dis
course relates a story of some kind; expository discourse explains
something or exposes a subject; procedural discourse (e.g. a recipe)


134
But they may also perform another common function of deictics to serve
as a bridge from one sentence or portion of discourse to another. A
deictic may be the bridge between information earlier in the discourse
and an elaboration, an identification, a paraphrase, or a repetition
of this information. In the examples below deictics serve as a
bridge to a repetition (in 5) and an elaboration (in 6):
5) Well, as a community, I think it's a, it's a good community
to live in, to raise your children in. Well, I don't know.
The churches, the schools, everything. I think it's just a,
I don't know, I like it. I think it's, that's why I think
it's a good community is because I like it, and I don't know.
(VI7)
6) ... if you're not doing something, you haven't had any
business for a long time, you know, so there's, there's never
really, never really that much time, but uh we enjoy it and
uh it gives us a living, and uh I guess that's all we can
expect out of life is a living. (VI4-21")
A third basic of deictics in our corpus of expositions is to
maintain a level of tension in the stream of discourse. Most often
this is done by a speaker's use of the deictic "that" when, at least
in written English, "it" would be used. The tendency for speakers to
use "that," a device which is more dynamic than "it" by virtue of its
pointing function, is quite widespread. In many left dislocations in
our corpus (74 of the 606) we find a deictic (usually "that," some
times "those") rather than the third person pronoun as the copy of
the dislocated NP. Two examples follow:
7) That old concrete block there, that was my garage. (V12-24)
8) To go to Morristown to buy a pair of socks, that was kind of
aggravating. (X3-12)
In many extrapositions in our corpus "that" appears as the filler
subject rather than "it," as in


lie
reference to actual potential for dislocation would probably better
show us which NPs are most likely to be dislocated. What percentage
of the animate nouns introduced by speakers are left dislocated? What
percentage of the inanimate ones? Only after answering such questions
can we say that animate nouns are more likely to be left dislocated.
Counting potentially dislocatable NPs has been done here for three
kinds of NPs: names, thematic NPs which are not nonspecific indefinites,
and such NPs which are animate (to determine if animate NPs are more
likely to be dislocated than inanimate ones). In this way, two ques
tions about potential for dislocation can be answered: how likely are
names (persons and non-persons) to be dislocated in expository dis
course, and how likely are thematic pieces of information of all kinds
likely to be dislocated in expositions?
To answer the first question, the names in a subset of 200 exposi
tions (fiveofrom each informant) were counted. Ninety-three instances
of names were found, 27 of which were dislocated. Twenty-nine percent
of the potential names, therefore, were dislocated.
To answer the second question, the thematic pieces of information
in a subset of eighty expositions (two from each informant) were
counted. In many cases, thematic elements were difficult to identify
because the speaker changes direction or introduces further, unrelated
information before they are clearly established (and before they ini
tiate an anaphora chain. As a result, we can only approximate the num
ber of potential cases. In the eighty expositions approximately 280
such potential cases were found, and fifty-nine of them were left dis
located (21.1 percent). Roughly speaking, then, between one-fifth and


75
Thematic unity is not something merely imputed to a paragraph in
speech. It is there and is reflected to one extent or another by var
ious lexemic, grammatical, and phonological features. In a narrative
discourse, paragraph themes are usually characters; in exposition the
themes may be characters or many other kinds of information. Examples
will be presented in chapter three.
We can view these thematically unified units called paragraphs as
having three different modes of structurephonological, lexemic, and
2
grammatical. Although of most interest to us is the grammatical mode,
all three modes to a great extent reinforce one another. It is doubt
ful that the grammatical structure of a paragraph can be understood
without studying the other two.
Paragraphs have not often been understood as having characteristic
phonological features. But according to Klammer, "phonologically,in a
complete description of dialogue paragraphs, it would be necessary to
account for such phenomena as stress placement, juncture, and intona
tion in relation to the paragraph level constraints affecting them"
(1971:33). Even earlier, Becker pointed out the existence of phonolo
gical markers of paragraph structure:
Paragraph tagmemes seem to be marked by shifts in pitch regis
ter, tempo, and volume when paragraphs are read aloud. While
these signals can be perceived by a trained phonetician, they
have not been adequately described in the laboratory, and
their written counter parts have not been identified. (1965:242)
Unfortunately research into such features and markers, as by
Bridgeman (1966) and Lehiste (1978, 1979), has been either too recent


47
interview and over signaling the end of the interview and his impending
departure. It is easier to tell an informant that the interview is
over, to pack up the equipment, and to say good-bye than it is to tell
an informant that he/she can go home now. It is also less of an impo
sition if the fieldworker takes care of his own transportation instead
of asking the informant to arrange his/her own transportation. Fi
nally, informants appeared more likely to venture information in the
securest and most familiar environment for them, their own homes.
The fourth thing that the researcher/fieldworker had to determine
before beginning full-scale interviewing was the type(s) of discourse
he would elicit and the interview format to elicit it (them). His ap
proach was based on the typology of discourse genres (narrative, expo
sitory, procedural, and hortatory) in Longacre (1976). Given the time
limitations and the ease of devising questions, the researcher decided
to concentrate on expository discourse. A standard set of questions
was asked of all informants, regardless of age, socioeconomic back
ground, or level of educational attainment. No difficulties were ex
perienced in elicitation according to this plan.
These limitations also had several advantages. First, using stan
dard questions gives the study strict controls. Then, expository dis
course seems to be the most plausible to elicit, given the ethnographic
parameters of this study. Most of the standard questions had to do
with everyday life in the town. Others dealt with situations that were
of widespread and frequent comment about town (such as the reputation
of Jefferson County's neighbor, Cocke County, for violence and


87
it brings in people," Longacre says, "they are simply subjects of
explanation and analysis" (1976:199).
More recently Longacre has furthered elaborated his scheme by
adding another parameter (ftension). What he says about tension char
acterizing some discourses is worth repeating:
The final parameter tension also applies to all the above dis
course genres. Narrative discourse is purely episodic if it
contains essentially no struggle or plot (for example Willa
Cather's novel Shadow on the Rock). Such discourse is consi
dered to be -tension. Most stories, however, involve some
sort of struggle or plot and are clearly +tension. Similarly,
in procedural discourse, there are some discourses which are
more or less routine, while others involve struggle and alter
natives and are therefore +tension. Both behavioral [horta
tory] and expository discourse have varieties in which argu
mentation is assumed. These are also +tension. Discourses
of these genre which do not have this characteristic are
-tension. (Longacre and Levinsohn 1978:104)
we mention this third parameter because it concerns the presence or
absence of a peak in the discourse: If a discourse is plus tension,
there will most likely be some kind of climax of development, some
marked surface structure peak1 (Longacre, 1978 ). This is a pri
mary concern of chapter four.
Longacre's characterization of expositions appears to have consi
derable validity for the expositions constituting our corpus, although
it must be pointed out that Longacre's types are "pure." In actuality
discourses often of different types are embedded within one another.
For example, within an exposition may be embedded a short narrative
for background or illustrative purposes. Longacre recognizes this in
viewing his genres as deep structure ones which are sometimes skewed in
the surface structure (1976:206-9).


88
Notes
1. The parenthetical notation at the end of these and all further
data in this dissertation refers to the page of typed transcript
on which they are found. For information on which speaker any
data are from, consult the list of informants in Appendix A.
2. Terminological obfuscation notwithstanding, we use lexemic to
refer to concepts such as those of Klammer and Wise, including
contrast, comment, addition of participant, specification, which
are manifested in linguistic structure in various ways. Other
tagmemicists (e.g. Pike and Pike 1977) use "referential" to
refer to such concepts. Stratificationalists use the term "seme-
mi c. "
3. For Longacre, terms "explanatory" and "expository" are equivalent
in his 1968 study.
4. Step and BU (Build Up) are the obligatory tagmemes in procedural
and narrative paragraphs.
5. In his 1976 work, Longacre does not distinguish description from
exposition and we will consider description a subtype of exposi
tion here.


16
population (only 1.7 percent of its 1970 population was Black), and
many families have been split because the children have had to mi
grate north to find jobs. This need to leave home for employment
was aggravated for many natives of East Tennessee and Southern Appa
lachia by their inability to adjust to the urban North and their fond
attachment to home in the hills. Instances of their choosing to return
to certain unemployment or underemployment in the hills have been
frequently documented, as by Hicks (1976:29-30). This is perhaps not
so common in White Pine as in other areas in the region. A similar
attachment to native ground continues today; relatively few graduating
high school students and other new members of the labor force wish to
settle down elsewhere.
Almost entirely responsible for the improved economic profile for
Jefferson County and White Pine has been the tremendous growth of
local factories, especially those of the American Enka Corporation and
several major furniture firms. Attracting such industry to the area
have been the labor surplus, various tax incentives, and the availa
bility of cheap electricity. By 1970, more than half (51 percent) of
White Pine's employed population was in manufacturing, eight times as
many as in agriculture, forestry, and fisheries combined (6.3 percent).
In the same year, trade, service, and finance supported another 23.1
percent of White Pine. Construction employed 9.1 percent, mining 0.4
percent, and all other types of employment, 10.0 percent. The move
ment of workers into manufacturing has entailed the dissolution of the


122
In the following excerpt, the dislocated NP, "this one son that's
with me" is thematic for only one sentence. The following sentence
begins with both a conjunction and another left dislocation to indi
cate a change in theme, for contrast in this case.
51)This one son thats lives here with me, he'll just sit and
die laughing at stuff that goes on and, and enjoy it, you
know. But the other two, they don't fence with that stuff,
so I don't know. (VIII3-20)
The remaining fifteen instances of a left dislocated NP thematic
for only one sentence are of four different kinds. In five instances,
the left dislocation occurs in the last sentence of the exposition, in
dicating the speaker did not wish to pursue the subject further. In
four instances the NP is copied by "that" in an identify sentence, as
in
52) Threshing floors, that's what they had. (II13-27)
We will discuss identifying sentences in chapter four. They present a
summary identification regarding something and it is hardly surprising
that a speaker would introduce a new theme after making such a point.
Another kind of summary effect is given when the sentence follow
ing the one from which a dislocation takes place has an intensive
"just" in it, as in 53 below:
53) . .but the other two, they don't fence with that stuff, so I
don't know. I reckon it's just the way you think. (VI113-20)
The summarizing effect here indicates this is well-constructed thema
tically. Four of the sixty-one instances have this signal.


125
of something. The information introduced by existentials is typically
new to the stream of discourse, as we see in the extended example be
low:
56) . .if that canning factory hadn't burned, it'd give a lot of
people jobs in that area too. You know there's quite a few
people in around Bybee. (uh-huh) We had a couple of stores
and a post office and things like that, but it was just, com
paring it to here, to White Pine, just about like White Pine.
Cause at one time or other there was a, an old hotel here in
White Pine, and a post office, and uh I, even before that
they might just uh been a country store, not even a drug
store, but of course see, they added the drugstore and the
bank and then different and, and different things like that,
and then the railroad. Now there was no railroad that went
through Bybee. It was out in the country more. I mean, of
course, railroad track in the country too, but I mean it was
off the railroad line, and uh in White Pine uh here wasn't.
There used to be a depot up here. You could get off. You
could get on the train and get off the train right there.
It's been torn down not too long ago. (hmm) There's an
express office up there. I don't think it's been torn down
uh more than, uh more than maybe about six or eight years.
Little gray building. You know, you could still have things
come in express but no passenger, you know, there's not any
passenger trains even in Tennessee now. (11-13)
In this exposition we find seven existentials (each underlined) which
introduce new information. Two ofthem(". .there was no railroad. ."
and "There's not any passenger trains. .")donot introduce new (not
previously mentioned) NPs like the other five. But they do add new in
formation (that something previously mentioned does not exist) to a mes
sage and thus push forward the progress of a discourse. We have more to
say about the functions of existential sentences after examining the
kinds of information they introduce.
Unlike left dislocation, which normally introduces definite NPs,
existential sentences normally introduce information which is


104
Specifications
In the above section it is shown that any NP in a sentence has the
potential for being dislocated. Earlier it is noted that the NP dislo
cated must be the unifying piece of information, or theme, of a block
of discourse (this is an important point and is demonstrated in the
section "Relationship to Subsequent Discourse" below). A theme, which
in a well-formed block of discourse or paragraph often establishes an
anaphora chain, represents something a speaker wishes a hearer to have
in mind so that a body of information can then be built around it. The
theme thus is information the speaker wishes to be in the forefront of
the hearer's consciousness. It is NEW information, which Chafe regards
as knowledge which : speaker assumes to be not in the "consciousness of
the addressee at the time of the utterance" (1976:30).
All thematic devices such as left dislocation, existentialization,
and clefting constructions usually introduce new information into a
stream of discourse. But all such devices do not introduce exactly the
same kind of information. Moreover, they are not interchangeable.
As a rule, existentials do not introduce definite NPs. The excep
tions to this are treated in Reed (1979). Reed claims the criterion for
a noun being existentialized is whether it has a "presupposition of
identifiable reference." In Chafean terms, this means "knowable" to the
hearer. Without exception, left dislocations do not introduce nonspecif
ic indefinite pieces of information into discourse. Knowing this, we
not only can relate these two thematic devices to various comments in
the literature, but we also can point out the important differences and
overlappings between them.


17
tenant farming system and the development of more specialized agri
culture in the area.
This is not to say that farming is no longer a major concern to
most of the people of White Pine. It is. It must be remembered that
most of its citizens are a generation or less off the farm; many of
them still religiously tend kitchen gardens of an acre or two. But
few citizens must still depend on it as their primary source of income.
The new sources of income, the factory payroll primarily, have
brought in their wake profound changes in White Pine (above p. 10).
The better income is more dependable than one might derive from farm
ing. It has caused White Pine to become a bedroom community. At the
same time, the improved standard of living has raised the optimism of
White Pine's citizens for their future and especially for the future of
their children. For those wishing to break the cycle of having to go
to work immediately after leaving public school, there are more oppor
tunities than ever before. Within the past decade a junior college has
opened only five miles away, and many of White Pine's youth have de
cided to undertake some college work rather than enter the job market
right away. The area's economy, although still not providing suffi
cient skilled positions, continues healthy at the same time that White
Pine, a self-sufficient community a generation ago, finds itself more
and more dependent on the surrounding area.
The Religious Life of White Pine
The community of White Pine lies in the region often referred to
as the "Bible Belt," so called because much of its population still


27
subject of geographical variation entirely. This creates the impres
sion that there is none. No attention was given until very recently
to variation by age, socioeconomic background, or any other variable.
This presumption of little, if any, variation is directly at odds
with the view of Southern Appalachian speakers themselves. They be
lieve that Southern Appalachia has much subregional variation. Speak
ers in the region as a rule (and White Pine exemplifies this well) con
tend that they speak differently from neighboring communities only a
few miles down the road or one or two hills over, although it is diffi
cult to tell what differences they have in mind. These subjective
views have occasionally been supported by statements in the linguistic
literature, as by Berrey: "the dialect may vary slightly with the lo
cality, and even from family to family" (1940:46), or by Walker: "It
must be realized that the speech of the mountaineer varies from one
district to another" (1939:6). Wolfram and Christian, in commenting
on vowel variation in southern West Virginia, state that "there are
apparent vowel differences from region to region within Appalachia.
Even within the restricted locale we have studied here, there is evi
dence that several different vowel systems must be recognized"
(1976:64).
To what extent the term "Appalachian English" refers to a deter
minable linguistic entity is then unsettled. On the one hand, some
commentators and Appalachian people recognize an almost hollow-to-hol-
low and community-to-community variation. On the other, such long
time students of American English as Mencken (1963) and Wise (1957)


68
first link the "theme." The theme is the piece of information (not
necessarily a human participant) which usually initiates an anaphora
chain and which a block (or paragraph, as we will see) of information
is about. The primary surface structure devices which introduce theme
or "thematize" a piece of information are of two sorts in our corpus:
left dislocations and existentials. In the following exposition we un
derline two left dislocations and two existentials, all four of which
initiate anaphora chains, to illustrate our approach.^
Fieldworker: What have been the major changes you've seen in
White Pine during your lifetime? Let's say, the most signifi
cant changes?
Informant: Well, they restructured the bank. I wished they'd uh
left it the old way, but I guess they did that for, you know,
security measures and stuff, and then uh the mall, the mall I
was talking about, the shopping center. You know, they've
paved it all the way throuqh, so that's, that was the major
thing right there that, that they've done. And of course,
the housing project, they put that down there, and I wish they
hadn't have. I like White Pine the way it was, you know.
Well, simpleton little town, you know, but it seems to be ex
panding quite, quite a bit. (hmm) And there's a lot of
trailer courts going in. There's one right in the center of
town. I don't know how they ever got that admitted. Course,
they have restrictions now, but it was in there before the re
strictions came, so (uh-huh) and, when I grew up, there, we
had one policeman, and that was Chief of Police Dick Reed, and
he had a deputy, and that was it, and they would drive around,
you know, most of the day, or if you needed him or anything to
around twelve o'clock, and then they'd go home, you know, so
the town was just, just nobody out, you know, or few people
out, but there was no crime, you know, nobody breaking into
anything, (uh-huh) That was just the way it was,... (V2-11)
In this exposition thematic devices introduce four themes (the mall,
the housing project, a lot of trailer courts, and no crime, although
the fourth one is not developed like the others) and at least four
paragraphs in this exposition. Theme is the one obligatory element


112
47) . .of course, as I say, the young ones I don't know. But
them old ones, if they liked you, they'd bend over back
wards for you. They'd do anything in the world that, for
you, if they liked you. (X2-16)
Such left dislocations serve not only to indicate a contrast with a pre
ceding piece of information. They also serve to introduce thematic ele
ments for the succeeding sentence(s) like other types of left disloca-
ti on.
4) Often a speaker in the course of an exposition wishes to rein
troduce a piece of information back into the stream of discourse after
it has fallen into the background of the hearer's consciousness. The
information may have been mentioned in an earlier turn in the conversa
tion or earlier in the same turn. But when a speaker wishes to rein
troduce it, it is often found in a left dislocation structure. Appa
rently the constraint on this type of left dislocation is that at least
one thematic piece of information has intervened since the last mention
of the reintroduced one. This intervening material may be from one
sentence to many dozens of sentences long. In our corpus, 29 of the
606 instances (4.8 percent of the total) are primarily of this type.
In the following excerpt, "sulfur" is reintroduced as a thematic piece
of information:
48) . .my aunt used to buy calama. You used to could get calama
just uh loose, I mean, at the drugstore, and she would just
take what calama, she said that calama in the spring, that
everybody needed a dose of calama to, to clean their system,
and so she would take, and just what would lay on the end of
a, of a knife, table, that we would, why, she'd give us, all
of us children a dose of calama in the spring, and we'd uh,
and uh sulfur and molasses. That's another thing. She


CHAPTER 1
INTRODUCTION
General Comments
This dissertation describes the discourse functions of several
linguistic structures from a large sample of spontaneous expository
discourses for a cross-section of informants from a small East Ten
nessee hill community. The community, White Pine, is viewed as ty
pically Southern Appalachian. This dissertation thus contributes to
both discourse analysis and Southern Appalachian studies.
This study is based on a set of forty interviews conducted by the
researcher between December 1977 and February 1978 and averaging
slightly more than an hour each in length (forty-five hours total).
The interviews consisted of a small core of questions and were de
signed to elicit large amounts of expository (explanatory and descrip
tive) discourse from the informants in the form of spontaneous mono
logues. Subsequently the interviews were transcribed orthographically
and constitute a 1,070 page typed corpus from which data in this dis
sertation are taken.
Language, as a social instrument, consists of a set of systematiz-
able patterns of social behavior. These patterns, although presumed
to be repetitive and systematizable on all levels, have been largely
ignored for English at levels above that of the sentence. The
1


147
that. But for a good time and not leave White Pine, it's
either ride around or watch TV. Usually watch TV, because
they a lot of good stuff been coming on TV here lately.
(VII12-9)
Or is it anaphoric or cataphoric in the context of the following
exposition?
49) Fieldworker: What would you say have been the most signif
icant changes you've seen in the town in your few years here?
Informant: Most signficiant change I've seen is the, the
intrusion or the coming in or, of new people. White Pine is
no longer the same town it was eight and a half years ago
because of its growth, uh because of people with different
backgrounds having moved into our town, (uh-huh) Uh there
fore it has changed the complex of our town tremendously.
Uh I think this is the greatest change that has happened in
our town is to have new people coming in with new blood, new
thoughts, new ideas, new approach to things" (X4-4)
On the one hand, the deictics point backward in the discourse; on the
other, they point forward, to information coming at the end of the
sentence which sums up the entire preceding discourse. In a sense,
we may call such deictics "ambiphoric," pointing in both directions.
Peak sentences resemble identifying sentences with right dis
location (as in 37 and 38 above). But the deictics in peak sentences
are more clearly bridges between foregoing and following portions of
discourse. Normally the initial deictic in peak sentences (although
a speaker retains the option for such stressing in cases of emphasis)
does not receive the focal stress we find with deictics in anaphoric
identifying sentences, indicating that peak sentences are on the whole
more forward looking. Thus they more strongly tell a hearer that
important information is coming up.
An examination of all fifty peak sentences shows that all of them
point both backwards and forwards. In some instances, as in 50 below,


149
initial deictic seems especially cataphoric when it is "this," as in:
53) ... We have a volunteer fire department, which I might
say is outstanding. It's terribly proficient. It's very,
very, very good, (hmm) And we've improved on that as times
come along, (uh-huh) Uh, we have two trucks. We have a
large engine. Have a small brush-fire, brush-fire fighter,
uh to handle any small jobs, and we now, as of this year,
have good communication. Uh, they have portable radio units,
uh volunteer fire department, (hmm) and all times. They're
on the job from somewhere. We, we have quite a few within
the town itself that, that have their own business, that
are capable of being able to go on, to go out at any time,
(hmm) Uh, this doesn't seem to matter as far as uh insur
ance is concerned. This is something that's bothered me
for a long time is that we're in uh grade ten in insurance,
as far as homeowners is concerned. (113-12)
Although peak sentences and identifying sentences have been
treated separately in this chapter, they are quite similar in many
respects. When we look at their distribution in discourse, we will
see they are very close. At the end of chapter three we examined
structures which were the fusions of two structures left disloca
tion of an NP and existentialization of an NP that had been viewed
as distinct until that point. In the same way as thematic devices are
not discreet from one another, we find a continuum of structures
involving deictics. Peak sentences are identical to anaphoric identi
fying sentences except that the latter have a pause where the former
have a copulative verb ("is") and that the latter have a focal stress
on the initial deictic whereas the former may or may not have. In
addition, anaphoric identifying clauses with right dislocation such
as in 35-6 above are very similar to that-extrapositions, as in 27-8,
the latter are never anaphoric and never identify one part of a
discourse with another.


91
intuitive notion but that it demonstrably organizes a block of dis
course.
Our view of theme as that information which unifies a block of di
ourse and which often is reflected by an anaphora chain is not incon
sistent with other views found in the literature. For Hallida.v,
Theme is concerned with the information structure of the clause
with the status of the elements not as participants in extralin
guistic processes but as components of a message, with the rela
tion of what is being said to what has gone before in the dis
course, and its internal organization into an act of communica
tion. . (1967:199)
Halliday's position is that theme is involved in both clause and dis
course structure. Theme is "what comes first in a clause" and around
which the remainder of a clause is structured (1967:212). But also
theme is that information which "is being talked about" (p. 212) and
which assigns
. .to the discourse a structure which is independent of sen
tence structure and through which the speaker both organizes
the act of communication into a chain or message blocks, the
'information units', and specifics within each message block
the value of the components in the progression of the dis
course. (p. 196)
Halliday's express concern, however, is not to show how a theme parti
cipates in discourse but to explore the many choices that a speaker
has for theme and how a clause is organized around such choices. To
support his clain that "the soeaker has within certain limits the op
tion of selecting any element in the clause as thematic" (p. 212), he
shows the variety of different elements which may be fronted and thus


21
viewed as sharing certain distinctive cultural characteristics and
social and economic conditions encompasses the southern half of the
mountain range and includes as its core a sliver of North Georgia, the
eastern thirds of Tennessee and Kentucky, the western thirds of
Virginia and North Carolina, and the entire state of West Virginia.
This is in addition to a variety of fringe sections, depending upon
which demarcation of the region one chooses. Perhaps the most exten
sive demarcation is the political one made by the Appalachian Regional
Commission. The Commission defines Appalachia by county, based on
economic conditions. Their "Appalachia" includes parts of Alabama,
Mississippi, South Carolina, Ohio, Maryland, Pennsylvania, and New
York, in addition to the core area mentioned above.
Gastil, whose regions are determined by sociocultural features,
considers the core area outlined above and a small corner of South
Carolina to be the "Mountain" area of the South (Gastil 1975:174ff).
Vance (1962) views the "Southern Appalachians" as a distinctive region
sharing agricultural and economic conditions, which covers parts of
West Virginia, Kentucky, Tennessee, North Carolina, South Carolina,
Georgia, and Alabama. The demarcation of the "Southern Highland" re
gion by John C. Campbell (see map on the following page), a lifelong
student of the region, comprises the core area of portions of six states
and also the fringes of three others, a 112,000 square mile territory.
For Campbell, this area exhibits similar economic, educational, and ref-
igious characteristics. What is important for us is that, whatever the
delimitation of Southern Appalachia, the community of White Pine has always


48
lawlessness). These are safe topics, unlikely to give offense, yet of
universal interest.
Before the interview itself and the sample are discussed, a few
more comments need to be made about how the fieldworker established
rapport with his informants. As Goldstein points out, the fieldworker
should take every opportunity to participate in the daily lives of the
people and the community he is studying. This researcher visited local
churches and various gathering places and meetings, chatting with peo
ple frequently on the streets and at lunch counters. He continually
emphasized that he was interested in interviewing a cross-section of
townspeople.
The interview itself is a directive one, but it is loose and flex
ible. It was directive insofar as it required specific vital informa
tion from informants (age, length of residence in White Pine and else
where, level of education attained, occupation held, and family back
ground). The fixed questions asked of all forty informants require
expository responses:
1) How does White Pine react to newcomers in town?
2) What have been the most important changes you have seen in
White Pine while you have lived here?
3) What's a typical day like for you?
4) What do you think most people in White Pine want the town to
become?
5) What all goes on on Pine Day?
6) What do you do on Pine Day?


64
concerned with the abstract and rhetorical structure of discourses.
Text grammarians for the most part view discourse or text as a unit of
competence and not of performance.
Other analysts approaching discourse (e.g. Williams 1964, Halliday
and Hasan 1976) choose to study exclusively the various cohesive re
sources of English to fit one sentence after another into a context,
to produce acceptable sentence sequences. Williams examines deletion
and a wide variety of elements such as deictics and sentence adverbs.
Halliday and Hasan are concerned with such semantic resources of Eng
lish as substitution, ellipsis, reference, and conjunction. This lin
ear approach to discourse is devoted to explicating intersentential
linkage.
Several discourse studies attempt to bridge the gap between these
two points of departure and to balance the hierarchical and linear ap
proaches to the study of discourse organization. They have varying re
levance to the present study, however, since none of them (except, in
part, Longacre 1968) are based on a corpus of spontaneous oral exposi
tions. Several studies, e.g. Grimes and Glock (1970), Klammer (1971),
Klammer and Compton (1970), and Van Dijk (1977), deal with only the
narrative structure of one or a small sample of texts. The basic point
of many narrative studies is that a discourse view of a text can indeed
make some interesting observations more so than it is to generalize
about a body of texts. In studies of narrative structure we encounter
again and again statements similar to that of Van Dijk: "The remarks
made about a well-known type of discourse, the story, could be extended


139
An extraposition, then, is a structure with information shifted
to the end of a sentence. When a speaker uses "that" rather than "it"
in an extraposition, he/she explicitly points forward to this infor
mation. An especially strong cataphoric effect occurs in the one
extraposition in our data with "this":
29)This don't sound feasible that they would be from all areas
of the country. (114-10)
Identifying Clauses with Deictics
In chapter three the infrequency of it-clefts (three instances)
and WH-clefts (four instances) was pointed out. Such constructions
seem to be more widely employed in written than in spoken English.
In those same 200 selected expositions in the White Pine corpus which
were searched for cleft constructions, however, we find another kind
of construction superficially similar to clefts. There are 27
instances of this construction, which is termed, after Halliday
(1967:231), "anaphoric identifying clauses." Their frequency substan
tiates Halliday's statement (p. 232) that they "are probably at
least as frequent, in dialogue" as clefts are. In the following
three excerpts the identifying clauses are underlined:
30) They're putting in I call it a, I don't know whether this
is the proper term to use, it's the term I use, a beer
joint. And that's what everybody else around here says,
right down our road down here. (V4-19)
31) They set it up out in the shopping center there. They just
have that whole thing roped off, and, and that's where they
have their . (II13-15)
32) So I mean, what more can you do but fight back? When you've
already turned the other cheek, there's only one thing to do,
and that's fight back, and even the Bible'll tell you to do
that. So that's, that's what we're doing. (VII12-27)


49
7) Why does Cocke County have a bad reputation?
8) How do local people feel about outsiders making fun of East
Tennesseans and the way they talk?
In this way, some uniformity in interviews was established.
However, the interviews were not rigid. For example, no infor
mant was asked only these eight questions. Each informant was asked
additional questions depending on age or background. For instance, in
formants over fifty who were native of the area were asked how local
people felt when TVA came into the county in the 1930's and bought up
prize farmland to be covered by reservoirs. Similarly, high school age
informants were asked how the new county-wide comprehensive high school
compared to the old high school in White Pine. Other questions were
asked, depending on the flow of the conversation.
One non-directive principle was adhered to throughout the interview
ing, however. This concerns the lack of a time limit. Once the field-
worker had asked a question on some subject, the informant was allowed
to give as long a response as desired. The fieldworker took pains nei
ther to interrupt nor to influence the informant's pattern of thought.
Only when the informant signaled an end to a response or when an infor
mant's response was clearly running out of steam did he intrude with a
comment or another question.
The interviews averaged slightly more than an hour in length. But
the fieldworker spent at least twice that amount of time with the aver
age informant, exchanging small talk and establishing a rapport with in
formants before the actual taping began. The time taken by the field-


179
Pike, Kenneth L. 1964. Discourse Analysis and Tagmeme Matrices.
Oceanic Linguistics. 3. 5-25.
Pike, Kenneth L. 1967. Language in Relation to a Unified Theory
of the Structure of Human Behavior. The Hague: Mouton.
^Pike, Kenneth L. and Ivan Lowe. 1969. Pronominal Reference in
English Conversation and Discourse A Group Treatment.
Folia Lingistica. 3. 68-106.
Pike, Kenneth L. and Evelyn G. Pike. 1977. Grammatical Analysis.
Dallas: Summer Institute of Linguistics.
Postal, Paul M. 1971. Cross-Over Phenomena. New York: Harper & Row.
Prince, Ellen F. 1978a. A Comparison of WH-clefts and it-clefts in
Discourse. Language. 54. 883-906.
Prince, Ellen F. 1978b. Left Dislocation, It Makes Life Easier.
Paper read at the 1978 LSA Winter Meeting, Boston.
Propp, Vladimir. 1958. Morphology of the Folktale. Bloomington:
Indiana University.
Raine, James Watt. 1924. The Land of Saddle Bags. New York: Coun
cil of Women for Home Missions and Missionary Education Movement
of the United States and Canada.
Reed, Ann M. 1979. 'There' and Definites. The SECOL Bulletin.
III. 1. 9-24.
Ross, John Robert. 1967. Constraints on Variables in Syntax. MIT
dissertation.
Sacks, Harvey, Emanuel A. Schegloff and Gail Jefferson. 1974. A Sim
plest Systematics for the Organization of Turn-Taking for
Convestigation. Language. 50. 696-735.
Sinclair, J. McH. and R. M. Coulthard. 1974. Towards an Anatomy of ^
Discourse: The English Used by Teachers and Students. London:
Oxford University.
Stewart, William A. 1967. Language and Communication Problems in
Southern Appalachia. Washington: Center for Applied Linguistics.
Stockwell, Robert P., Paul Schachter, and Barbara Hall Partee. 1973.
The Major Syntactic Structures of English. New York: Holt.
United States Department of Agriculture. Bureau of Agricultural
Economics. Bureau of Home Economics, and Forest Service. 1935.
Economic and Social Problems and Conditions of the Southern
Appalachians. Miscellaneous Publication 205. Washington, D. C.


57
Explanation to Informants
The members of the White Pine community, when approached by the
fieldworker/researcher as potential informants, were almost invariably
most willing and even flattered to be asked to participate in an inter
view. While a few of them were initially concerned that they were
being "singled out" to be interviewed for some special reason (the
fieldworker had to assure them that he wanted to interview typical cit
izens), the fieldworker was actually turned down for an interview only
once (over the telephone, where, he is convinced, he was mistaken for a
salesman). Most informants were more interested in knowing why they
(and White Pine) were chosen than what the fieldworker actually wanted
to interview them for, and that the series of interviews was a part of
his schoolwork was sufficient explanation for most informants to be
quite willing to be interviewed. The usual explanation provided pro
spective informants was as follows:
For a school assignment I would like to interview a cross-section
of people in White Pine and ask some general questions about
what life is like here. What I want to do is compare the an
swers I get from a variety of people, both old and young, male
and female. I wondered if you would be willing, if you have
some time, to help me by answering a few questions.
The fieldworker willingly gave whatever additional information was de
siredthat the interviews were part of his dissertation, that he was
working on his doctorate, or that his project was a linguistic one
but this was rarely called for.
It should, of course, be pointed out again that the initial rap
port that the fieldworker was able to establish with informants would


25
handful of its features have indeed been shown to be carryovers from
Northern England and Scotland) or its musical or other traditions.
For a variety of unscientific and often impressionistic reasons,
however, the people of Southern Appalachia are reputed to be quite dif
ferent from all other Americans. If they do not descend "directly from
the Scotch-Irish, there is a quaintness in their approach to life, it
is said, harking back to an earlier era, or their speech has a quality
and character indisputably unique. Not only does Appalachian speech
preserve various relics, that is, but it also has a distinctive quality
in a more general sense. The literature on the subject abounds in de
scriptions of how mountain folk talk, more often than not written by
college-educated children remembering fondly earlier days in the hills.
Here are three representative descriptions:
There are certain peculiarities of enunciation which it might be
well to speak of here. For the Smoky Mountaineer the nose is as
much an organ of speech as the larynx. This is particularly no
ticeable in old people, and may be because of the catarrh
brought on by constant exposure and diseased tonsils. The moun
taineer drawls to an alarming extent, even more so than his
neighbors of the plantations. His voice is utterly without ca
dence, almost a droning monotone. On the other hand, it has a
deep, resonant quality which catarrh and embarrassment never
wholly obliterate. (Walker 1939:3-4)
The mountaineer has clung to the Shakespearean word these many
years because he has not learned the modern word. Indeed, he
has had little contact with those who speak the modern word; and
since his surroundings and habits and thoughts have been largely
the same as they were in Shakespeare's day, he has had no need
for new or changed speech. (Coleman 1936:30)
As a race, the people of our southern mountains speak softly.
Even their most commonplace remarks somehow are made to sound
secret, and of greatest importance. The women especially speak
softly, their voices often plaintively sweet, pitched in a
minor key and lifting upward, so that the last word of every
sentence is almost sung. (Hannum 1969:29)


130
fall off as at the end of a sentence. The three examples above and
the fourteen others cannot be regarded as anything but fused sen
tences.
It is here that our two types of thematic devices, left dislo
cation and existentialization, considered separately in this chapter,
fall together and show that they are indeed equivalent structures
when it comes to introducing thematic NPs which are either specific
or generic indefinite. Such NPs may be introduced by either or both
devices. Especially with generic NPs, the two devices most clearly
merge.


Ill
new information. The left dislocated element will name a general class
of items, and the following sentences will specify which and/or how
many members of the class are involved. In other words, some left dis
locations involve the focusing on or narrowing down to a portion of the
new information which is introduced. There are 34 instances (5.6 per
cent of the total) of this type in the corpus. Two short examples of
this are given below:
44) People my age that went North and worked, some of 'em have
come back [to] the territory. (IV4-18)
45) These students, I know several of 'em because Ive helped the
teacher average their grades. (VIII1-18)
We note the similarity between such constructions and those like sen
tences 39 and 40 above.
3) On occasion, a speaker wishes to introduce a piece of informa
tion to a hearer abruptly in order to contrast it with a foregone piece.
In such instances the new information is often preceded by "but" or "how
ever" and frequently it is left dislocated. In our corpus are ten in
stances (1.7 percent of the total) which are primarily contrastive and
several dozen more whose constrastiveness is evident but apparently sec
ondary. Although usually preceded by one of the conjunctions mentioned
above, their primary characteristic is the heightened stress on the left
dislocated element which they have. In the following examples we have
contrastive stress on "younger" and on "old":
46) . .and I think the older people think theres no use in all
this change, you know. Why, we've gone like this for years.
Why not continue? (uh-huh) But I think the uh younger,
younger people in town uh, I think they want change. I, I
think they want it to grow and develop, you know, . .
(VI -4)


173
Carpenter, Charles. 1933. Variation in the Southern Mountain Dia
lect. American Speech. 8. 22-5.
Caudill, Harry M. 1963. Night Comes to the Cumberlands: A Biography
of a Depressed Area. Boston: Little Brown.
Chafe, Wallace L. 1974. Language and Consciousness. Language. 50.
111-35.
Chafe, Wallace L. 1976. Givenness, Contrastiveness, Definiteness,
Subjects, and Point of View. In Subject and Topic, edited by
Charles N. Li. New York: Academic. 25-56.
Chapman, Maristan. 1929. American Speech as Practiced in the South
ern Mountains. Century. 117. 617-23.
Clark, Herbert H. and Susan E. Haviland. 1977. Comprehension and
the Given-New Contract. In Discourse Production and Comprehen
sion, edited by Roy A. Freedle. Norwood, New Jersey: Ablex.
1-4C|.
Coleman, Wilma. 1936. Mountain Dialect in North Georgia. University
of Georgia thesis.
Combs, Josiah H. 1916. Old, Early, and Elizabethan English in the
Southern Mountains. Dialect Notes. 4. 283-97.
Combs, Josiah H. 1931. The Language of the Southern Mountains.
PMLA. 46. 1302-22.
Coulthard, Malcolm. 1976. Discourse Analysis in EnglishA Short
Review of the Literature. Language Teaching and Linguistics
Abstracts. 8. 71-89.
Dane, Frantisek. 1966. A Three-Level Approach to Syntax. In Tra-
vaux Linguistiques de Prague: Volume I, edited by Joseph Vachek.
Tuscaloosa: University of Alabama. 225-40.
DaneS, Frantisek, ed. 1974. Papers on Functional Sentence Perspec
tive. The Hague: Mouton.
Dressier, Wolfgang U. 1970. Towards a Semantic Deep Structure of
Discourse Grammar. CLS 6. 202-8.
Dressier, Wolfgang U., ed. 1978. Current Trends in Text Linguistics.
New York: Walter de Gruyter.
Dykeman, Wilma. 1965. The French Broad. Knoxville: University of
Tennessee.
Dykeman, Wilma. 1977. Tennessee. New York: Norton.


46
The artificial interview situation, however, is, he adds, "the
only natural context for eliciting information from an informant"
(pp. 104-5). In other words, some type of directive elicitation is nec
essary, however willing the informants are to participate, since they
do not always spontaneously volunteer discourse, especially exposi
tions. Given these realitites, the researcher decided to adopt the
role of a college student collecting general information for a research
paper from a cross-section of the people in the town, stating that he
was interested in White Pine because he viewed it as a typical East
Tennessee small town. This is similar to the role of historian Gold
stein advises for folklorists. In this role the researcher states that
he is not interested in official opinions or just in the opinions of
the oldest and/or most respected members of the community, but that
he is seeking instead the ideas and views of a cross-section of the com
munity's average citizens. He emphasizes that he wants responses from
both native and non-native residents, from old and young, from members
of the whole community, whatever their social standing.
The researcher decided to have the interviews in the informant's
home rather than in the contact persons' home. He also discarded the
idea of interviewing in the informant's place of business or at some
other neutral, public site. Most informants readily invited the re
searcher into their own homes, and for this reason and others it ap
peared that informants would be most comfortable there. Moreover, a
fieldworker actually has more control over the interview in the infor
mant's home. There he has greater discretion over the pacing of the


138
24) And you know, that makes you feel very good to see a young
man turn over a new leaf. (IVI-22)
25) The only way I'd vote for Ray Blanton is whether, if they's
voting for him to leave the country, and that's about the
same way with the other Democrats, . (VIII1-14)
26) That's been a question I think in a lot of people's minds
whether it would be feasible to build one here or not.
(1X2-14)
In these instances the deictic is cataphoric or exophoric. It
neither refers or points backward in the discourse, as "that" usually
does. This cataphoric nature of deictics in such sentences is more
clearly seen in five of the extrapositions, as in 27 and 28 below:
27) That would cost too much money, to clean the lines and
things like that. (II14-14)
28) That's kind of a traditional thing for us, just to go up
there and have a big dinner. . (V2-19)
in which we have a pause (represented by the commas) before the
extraposed clause. Although such sentences are sometimes simply
termed "right dislocations" or "afterthought constructions," we can
understand them by considering their discourse contexts. The deic
tics in such sentences are not anaphoric. They point to a situation
outside the stream of discourse. When the speaker realizes he/she
must provide the information to which they broadly refer, he/she
attaches the information at the end of the sentence, after a slight
pause.
Right dislocation is a kind of apposition and represents a
speaker's addition of new information to a discourse context. It is
a widespread strategy found in our corpus, especially with structures
having deictics. In the next section we examine right dislocation with
identifying sentences.


54
are also crucial to sentence, clause, and phrase boundaries. This
is why the tape recording itself remains the ultimate authority.
The transcription employed here makes no attempt at eye dialect.
Orthography was modified only to indicate several minor instances of
deletion such as
1) The voiced interdental in "them" and "that," if deleted, is re
placed by an apostrophe (as in "with 'em" or "like "at");
2) Clause initial "that's" and "it's," often reduced phonetically
to [s] or [s:], and therefore indistinguishable, are represented
frequently as '"s";
3) Initial syllable deletion, as for "of course," represented as
"course," and "because," represented as "cause."
In no instances were such conventions used to indicate the deletion of
morphemes. Dealing with deletions in general was frequently difficult.
Basically any apparent morpheme that had a clear trace was represented
in full orthography. In fact, clear hesitation phenomena such as "uh"
and "hmm," the affirming "uh-huh" and the negation "huh-uh" and the like
were represented whenever audible. But the many standard English words
without such a trace (such as copulas, relative pronouns, and others)
were not represented.
Hesitation phenomena (as well as the parenthetical "you know," "I
mean," and other phrases adding nothing to the content of the interview)
are represented in this study's interview transcripts for the sake of
making the transcript as accurate as possible. It is also possible
that such phenomena might have some discourse significance, as markers
of sentences or of paragraphs (i.e, changes or returns to themes). In
any case, possibly significant data should not be discarded a priori.


167
of, there's good people over there, (uh-huh) Uh it's uh quite a
high crime rate for the size of the county. I mean it's tremen
dous. You just wouldn't believe. I have known, I have known, uh
known 'em to have uh as many as two or three homicides a day over
there, (hmm) and that's a lot. Uh eight or ten a week, and uh you
take a county that small, why, it's tremendous, (hmm) It's just
outrageous, just to put it bluntly, so it's uh really bad. But I,
like I said a while ago, I don't think it's as bad as it was, cause
we got a new attorney general, and he, (hmm) you know, he pretty
well put a little, quietened it down a little bit. [#114-31 is an
interruption of a prospective policeman coming in to fill out an ap
plication]
F: What do you personally do on Pine Day every year?
I: I don't uh, I don't really can't answer that unless, well, we have
a parade and I coordinate it. (uh-huh) Uh it's about the only,
really the only uh parcipi-, uh part that I take in it (uh-huh) is
uh the coordinating the parade and leading and handling the parade,
(uh-huh) Course, like I said, I've only been here a couple, well,
I think I've had, been here two or three Pine Days and really don't
know the meaning of it, to be quite honest with you. But it's a,
it's a relatively quiet, nice little town, uh comparing it with
other towns its size in East Tennessee, (uh-huh) I like it.
F: In the three years you've been here, what would you say have been
the most significant changes in the town?
I: Well, the, I think the most significant change is the, the things
that the city fathers have done, such as uh recreation, uh streets,


81
denouement to the paragraph. Longacre's most recent view of Peak
is an even more refined one:
For discourses that are not narrative but still have a climax
of development, the peak may mark "target procedure" in a
procedural discourse, "climactic exhortation" in a behavioral
discourse of the hortatory variety, and a most satisfactory
or "culminating explanation" in expository discourse. .
(Longacre and Levinsohn 1978:105)
If we look back to the exposition above at the sen
tence therein ("I think this is the greatest change that has happened
in our town is to have new people coming in with new blood, new
thoughts, new ideas, new approach to things"), we see clearly that this
sentence represents the culminating explanation and that it is the
peak of this one-paragraph exposition. Our chapter four below is
largely devoted to showing how such sentences indicate the peaks of
paragraphs.
In the remainder of this study we show the extent to which we can
find that certain surface structure cohesive devices are associated
with grammatical units of expository paragraphs.
At this point we should ask why we find surface structure cohe
sive devices such as thematizing constructions and peak sentences at
all, since their use is not categorical. Left dislocation, as we will
see in chapter three, is employed in only slightly more than one-fifth
of its potential cases. If left dislocation is optional, as are other
thematizing constructions in English, why do speakers use it at all?
Why is it that grammatical units of the paragraph are sometimes
overtly marked by a specific structural reflex? We will suggest here


166
county, I guess they have more crime than any other county in the
United States. Now that's saying a mouthful, (yeah) but you can
uh, you can figure one or two homicides a week. Now, you consi
der the size of Cocke County, that would be one or two an hour in
the city of New York, and, you know, that's I guess about what
they have, so uh it's a very high rate of crime, but I believe
it's what they people wants. The majority of the people, now. Of
course, all of them don't, (uh-huh) and it's, its got a lot to do
with the law enforcement. Uh you don't have the men anywhere, I
don't care whether it's Cocke County, Jefferson County, or what
county it is. You don't ever have the men you need, and uh you
can't watch everybody. You've got eight officers to uh eighteen to
twenty thousand people, then you see what you're up against. I've
got three officers, and uh I've got twenty, well, two thousand peo
ple in the city alone, (uh-huh) so you can see what they're doing.
They're watching eight hundred to a thousand people, each officer
is, (uh-huh) and uh there's no way that you can uh, you can do that.
There's just uh no way at all, so uh that's, I think the biggest
reason they have the crime rate that they do.
F: But as far as I can remember back in Knoxville I've been reading
about strange goings on in Cocke County. You know, senseless mur
ders or
I: Well, they, the people feud among themselves. It goes back a long
ways I suppose. Uh they uh they've just got what you, I'd say
roots that uh entice 'em to do things like this. They, they're
just uh, there's a lot of mean people over there, uh plus a lot


178
Longacre, Robert E. and Stephen Levinsohn. 1978. Field Methods of
Discourse. In Current Trends in Text Linguistics, edited by
Wolfgang U. Dressier. New York: Walter de Gruyter. 103-22.
Malinowski, Brontislaw. 1961[1922]. Argonauts of the Western Paci
fic. New York: Dutton.
Malinowski, Brontislaw. 1923. The Problem of Meaning in Primitive
Languages. Supplement I to The Meaning of Meaning, by C. K.
Ogden and I. A. Richards. New York: Harcourt.
Martin, Walt. 1977. Cultural Regions of Mid-Nineteenth Century
Tennessee. Manuscript.
Mathesius, Vilm. 1964. On the Potentiality of the Phenomena of
Language. In A Prague School Reader in Linguistics, edited
by Joseph Vachek. Bloomington: Indiana University. 1-32.
McMillan, James B. 1971. Annotated Bibliography of Southern Ameri
can English. Coral Gables: University of Miami.
Mencken, H. L. 1963. The American Language. The Fourth Edition
and the Two Supplements. Abridged, with Annotations and New
Material, by Raven I. McDavid, Jr. New York: Knopf.
Merritt, Marilyn. 1972. Punctuating Devices in Discourse: Prelim
inary Notes. Paper read at the 1972 LSA Winter Meeting, Atlanta.
Montgomery, Michael B. 1975. Attitudes of the Southern Mountain
People Toward Language. Manuscript.
Montgomery, Michael B. 1977a. Topics Are Dislocated All Around Us.
Manuscript.
Montgomery, Michael B. 1977b. Subject Relative Pronoun Deletion: A
Discourse Function. Paper Read at the South Atlantic American
Dialect Meeting, November 5, 1977.
Montgomery, Michael B. 1978. Left Dislocation: Its Mature in Appa
lachian English. The SECOL Bulletin. II. 2. 55-61.
Odum, Howard W. 1936. Southern Regions of the United States.
Chapel Hill: University of North Carolina.
Pederson, Lee, Raven I. McDavid, Jr., Charles W. Foster, and Charles
E. Billiard, eds. 1974. A Manual for Dialect Research in the
Southern States. Tuscaloosa: University of Alabama.
Petdfi, J. S. and H. Rieser. 1976. Studies in Text Grammar.
Boston: D. Reidel.


22
Figure 1.2 Campbell's Southern Highland Region
(Source: Campbell 1921:xxxviii)


165
was born raised here. He knew everybody, and I guess it was just
hard for him to, you know, get real, real serious and crack down,
so to speak, (uh-huh) so change has been tremendous, from what I
can hear. Like I said, I'm not from here and the only way I can
answer your question honestly is to have lived here before I came,
or before we took over, so to speak. The new administration had
a lot to do with it. They gave us a little more power and a lit
tle more authority, and uh excuse me [The phone rings here for I]
and uh that helps. You know, you [again the phone rings for I)
F: I wanted to ask you about Cocke County. Why does it have the re
putation it does?
I: My opinion is they don't want to have any other type of reputation
as far as law enforcement is concerned. Uh, it's uh, it's just
wide open. Well, it's not as bad as it was. They've got a new at
1 torney general has done some things that uh I approve of. He's uh
cut out a lot of prostitution, (uh-huh) Not all of it, mind you,
but a lot of it. But I think that uh, course, you know as well as
I do, you have what the people want. Just like White Pine, if
White Pine wanted twenty police officers, they would have them,
(uh-huh) Uh if Cocke County wanted most, there's no way they
could cut it all out, but if Cocke County wanted most of their
vice and uh so- crime cut out, they could. It's a border, state
border county, (uh-huh) state line county, and that, that has a
lot to do with it. Plus the fact that it's a very mountainous
area, and uh a lot of the out of the way places, so to speak, and
they just have a lot of crime and a lot of, for the size of the


78
In contrast, grammatical structure is a variety of surface
structure. For example, "grammatical subject" and "grammatical
object," i.e., subject and complement, are constitutents of gram
matical constructions on the clause level. In levels beyond the
sentence, the grammatical order of constitutents is the actual
surface order in which the narrative is told. Morphemes are po
sited as the minimum grammatical units.
The nature of constituent units in lexemic constructions is ra
dically different from that of constituent units in grammatical
constructions, but the boundaries of the two kinds of construc
tions frequently coincide. However, the boundaries are not always
isomorphic so that the lexemic and grammatical constructions can
not be mapped onto each other in a direct, one-to-one manner.
(1968:2-3)
This kind of mapping can be easily done in many cases. For example, the
lexemic function of the introduction of a participant into a paragraph is
usually equivalent to and realized in the theme and this is further rein
forced by one of the thematizing cohesive devicesleft dislocation in
many cases. The lexemic function of summation is sometimes indicated by
the kind of structure we are calling peak sentences, but this is not al
ways the case. Such sentences always represent the peaks of paragraphs
grammatically but only sometimes are these peaks the realizations of such
sentences.
The third and most discussed way to view paragraph structure is gram
matically. The grammar of a paragraph is the system of units (Longacre's
current term) or constituents (Wise's term) whose order is the actual
surface structure order of the paragraph. Longacre (1968, 1976, Forth
coming) especially has long made the case that paragraphs are grammatical
entities and that each type of paragraph (narrative, explanatory, horta
tory, dialogue, precatory, etc.) has its own grammar. He contends that
the units (in his 1968 work he calls them "tagmemes" in positing his


CHAPTER V
CONJUNCTIONS AND INTRODUCERS
In this chapter conjunctions and introducers are treated together.
In our corpus, conjunctions very often introduce sentences, paragraphs,
and even entire expositions. This is consistent with what Longacre and
Levinsohn point out: "As introducers of sentences, conjunctions serve
to fit the sentence into paragraph context. They also serve to fit
the paragraph into discourse context" (1978:109). Some conjunctions
(especially "and," "but," "then," and "now") so frequently
begin sentences in our oral expositions that clearly one of the
primary functions of such words is to mark sentences. Frequently
conjunctions thus accompany the pauses which divide sentences. In the
following example exposition the sentence-initial conjunctions are
underlined:
1) Fieldworker: What do you think most people who live here want
the town to become?
Informant: Well, I think everybody wants us to have the new
hospital, which we're about on the verge of getting, I think,
which we really need is the new hospital. And everybody
wants it. Just, now White Pine's built up a lot over the
years. Of course, like I say, it's still a small town,
(uh-huh) But just other than that, well, they's not really
no great changes been, to me they's not, I mean, uh to other
people it might seem different. But to me it just seems
like the same, the way it's always been. (X11-14)
In addition to five sentence-initiating conjunctions here, we have two
instances of "well," and one of "of course," other introducers,
154


74
thematic unitsparagraphswhich represent the natural thematic struc
tural units in which speech is used.
Oral Paragraphs and a Review of Paragraph Studies
In analyzing the structure of discourses, linguists have often rec
ognized distinct supersentential units smaller than the discourse it
self. This is the case with Van Dijk (1977) for narrative, Klammer
(1971) for dialogue, and Longacre (1968) for dramatic, procedural, and
other types of discourse. Van Dijk uses the term "macro-structure" for
a sequence of sentences which belong together and which frequently has
"Morpho-Phonological markings" (1977:152-3). He mentions pauses, in
tonation, and particles as examples of such markings. Klammer, Long-
acre, and others adopt the less original but more useful term "para
graph," the traditional term referring to an orthographic unit of lan
guage. Herein we will also use the term paragraph for these interme
diate structural units in oral discourses that are unified in more ways
than simply forming a block of print on the page.
For Longacre, any string of two or more sentences which belong to
gether constitute a paragraph: "Unstructured sequences, or strings of
sentences which do not constitute a paragraph structure, do not exist"
(1968:53). Most often the paragraph has been defined as any self-con
tained thematic unit. Pike and Pike call it "the minimum unit in which
a theme is developed" (1977:488). We consider a paragraph to be any
thematic block of language, i.e. a unit of language organized around
a theme or piece of information.


ACKNOWLEDGMENTS
For their assistance to me throughout my graduate studies and
especially in undertaking the fieldwork for this dissertation I am
indebted to my parents. In many ways this dissertation would have
been impossible without them, and to them I dedicate it.
The fieldwork for this dissertation could not have been carried
out without the gracious assistance of my contact persons in White
Pine, the Atchleys Earl, Emogene, Steve, and Philipwho enabled
me to make the necessary contacts with and to establish a rapport
with my informants. To them I will always be grateful.
I also wish to thank the people of White Pine for their hospital
ity. Their open-hearted welcome and open invitations to return will
long be appreciated.
To the chairman of my committee, Professor William J. Sullivan, I
am thankful for patient direction and many invaluable suggestions.
To the other members of my committee, Professors Jean Casagrande,
Robert Thomson, Roger Thompson, and Norman Markel, I am grateful for
patient tolerance of an erratic and hurried submission of my work.
My colleagues at the Department of English at the University of
Arkansas at Little Rock deserve thanks for their encouragements to
finish this work this past year.
Finally I wish to thank Professor Robert Longacre of the Summer
Institute of Linguistics for his invaluable personal advice to me.
iii


36
5) What is the linguistic context of the form? (Where in the sen
tence and in the discourse does it appear?)
Only when we have answers to all these questions can we establish what
context a form appears in and whether it is typical verbal behavior.
The history of the study of Applachian English has been chiefly a
history of the study of extreme forms, and only rarely is any context
noted for data which are cited. Despite an occasional remark that a
certain form "is still heard" or is "generally" or "frequently" used,
the clear implication of most studies is that all the speakers in the
community under consideration use the forms cited all the time and in
every social situation.
The tendency to deal with the atypical (and hence unrepresenta
tive) speakers and forms infects even works which are otherwise linguis
tically sound. This temptation is very strong. Joseph S. Hall's tho
rough and invaluable study of the phonetics of the speech of the few re
maining residents of the Great Smoky Mountain National Park was under
taken, he confesses, because he believes in this speech, which "has so
long been removed from the main currents of American culture, there would
remain vestiges of earlier stages of the growth of the English language"
and which also would not have "the deep impress of the schoolmaster's in
fluence" (1942:4). Brewer and Brandes (1977) present only the extreme
features of Appalachian English for the benefit of schoolteachers who
will teach in Appalachia.
Two recent sociolinguistic studies, Hackenberg (1972) and Wolfram
and Christian (1975, 1976), take into account the first two contexts
(who uses the form and how often is it used?), but neither controls the


26
The contention in these excerpts is that the speech of Southern Appa
lachian people has a marked flavor and character all its own, beyond
the presence of archaic expressions and words therein. Commentators
have long been at pains to account for this on the basis of one extra-
linguistic factor or another (isolation, pace of life, etc.). Cratis
Williams, lifelong resident of the mountains, attributes in part the
distinctiveness of the way people in the region speak to "the highland
er's habit of thrusting his chin forward rigidly when he speaks."
(1961:10) Brewer and Brandes try to explain why Southern Appalachian
English impresses outsiders as so different by describing the kinesics
of its speakers, detailing the posture and the eye and body contact of
the typical speaker in the region.
Almost all the studies and comments on the speech of Southern Ap
palachia have had the unfortunate effect, however, of lumping the en
tire region together linguistically and assuming that it is homogeneous
within itself as well as distinct from other regions of the country.
To this date, very little attention has been devoted to regional lin
guistic variation within Appalachia. Only the two linguistic atlas
projects, the Linguistic Atlas of the Middle and South Atlantic States
and the Linguistic Atlas of the Gulf States, have given significant
consideration to such variation. This presumption of underlying uni
formity has been espoused frequently, as in Carpenter (1933). He con
tends that the only "variation in the vernacular of the southern and
central Appalachians has been due to the difference in the degree of
isolation of the various sections" (p. 22). Most writers ignore the


141
it's not as, it's not really you that's coming. It's that
invitation. I think it's uh more important, and it helps
people around here more than it would a, you know, in
other places, because then we're, we're closer and a lot
of people feel the loss. You know, it's not just the fam
ily. I've never been to any funerals but (hmm) that's
just what it seems like to me. (XI-18,19)
In this exposition, the deictic "that" in the last sentence points
back to and sums up the entire preceding discourse. It also signals
to a hearer that an end of a whole or part of a discourse has been
reached. In the cases which have left dislocation from an identi
fying clause, discussed above on page 134, an especially strong
note of finality is conveyed. Since identifying clauses with
deictics are frequently used to conclude paragraphs, left disloca
tions from identifying clauses often represent exceptionally short
and abrupt paragraphs.
The identifying sentences in our corpus differ in two important
respects from what Halliday says about them, however. First, Halliday
claims that only in contrastive cases or when the deictic is exophoric
(referring to something in the speech situation, outside the text) is
the deictic stressed. In our data, the deictic, although usually
anaphoric, does receive focal stress. Focal stress is not as strong
as contrastive but it is quite obvious, especially with the instances
involving left dislocation.
The second exception to Halliday's characterization of identifying
sentences is that the deictic cannot be cataphoric. Although the
identifying sentences we will now examine briefly differ from the
twenty instances in which'"that" identifies something in the preceding
discourse with a WH-clause, they are identifying sentences in function
and according to Halliday. These sentences involve a right dislocation,


95
call these "it-clefts" herein); and
7) Conjunctions (six different types: summary, contrastive,
enumerative, continuation, comparison, example).
These devices are employed by authors, according to Jones, to give
special prominence to (and not necessarily to introduce) the theme of a
paragraph and they may be found anywhere in a given paragraph. The
thematic devices we focus on in this study introduce new themes into
discourse as well as give prominence to them. They are always found at
the beginning of paragraphs.
Jones devotes most attention to showing how rhetorical questions,
cleft sentences, and pseudo-cleft sentences highlight paragraph themes.
It appears that these and the other devices she discusses are devices
found primarily in written expositions and thus we should expect to
find a different set of devices in oral ones. In a selection of 200
expositions from the White Pine corpus (five from each informant), we
find only three it-clefts and only four WH-clefts. All seven instances
introduce new information but none establishes an anaphora chain. We
can hardly generalize, however, on the basis of so few instances.
Jones does not mention existential sentences as one device pre
senting themes, and she only makes a very brief mention of left dislo
cation as a device which "directs special attention" to an element
(p. 172). Even the three devices she gives special attention to are
found to be rather uncommon in written expositions: "Except for con
junctions. . the other devices all occur rather infrequently in


97
Put simply, left dislocation is a construction in which an NP or
noun phrase (simple, complex, or compound) appears before the begin
ning of a sentence (i.e. leftmost) and has an appropriate pro-word
copy in the sentence itself, as in 5-7 below:^
1) And my boy, he froze so bad, he had what they call "buck
fever." (V3-27)
2) Well, these arbitraty rules that people set up for themself,
that's something else I don't like, you know. (113-32)
3) Like last year, me and a couple or few of my friends uh, we
watched the queen and everything out there. (XI2-8)
Left dislocation is not a repair construction which represents a
speaker's change of mind and a second attempt at phrasing a thought
after beginning a sentence. It is very rare to find any sort of au
dible hesitation or an overly long pause, for instance, between a dis
located NP and the sentence which follows, but a short, discernible
pause does characteristically occur. The intonation contour on left
dislocated NPs, no matter how long, is very consistently level with a
slight fall at the end for our data. In another study of left dislo
cations, Keenan and Schieffelin found that the NPs were "uttered with
a slight rising intonation. .This is then often followed by a pause
or by a hesitation marker (e.g. uhh)" (1976:254). Our findings differ
from theirs on both accounts.
The Variety of Forms
An NP in any syntactic position may be dislocated, whether it is
in the matrix or main clause or in an embedded clause. Most often


153
not always employ a cohesive device, which makes a speaker's message
"stick together," to signal a peak, but he/she sometimes does.


98
(356 of the total 606 left dislocations in the data, or 58.7 percent),
as in 5-7 above, it is the matrix subject which is dislocated. This
is not surprising. Halliday indicates that in "the declarative, the
subject if the unmarked theme" (1967:213). He defines theme as that,
in a sentence, which "is being talked about" (p. 212). Therefore we
should expect themes, which information blocks are about, to most repre
sent subjects of sentences. -
But the NP may represent the subject of other clauses, such as an
introductory adverbial one (21 instances, or 3.5 percent), as in 8 be
low, of an object clause (36 instances, 5.9 percent of the total), as
in 9-10 below, or of a relative clause (9 instances, 1.5 percent of the
total), as in 11:
8) Children., if they. took a cold, why they'd make 'em, some
boneset tea. (II2-34)
9) Just anything, even the commercials on the, on the television,
we thought they were great. (VI3-8)
10) And the newest hospital, I think they were running short of
funds at one time, (XIII-8)
11) And then Jake Butcher, you know the bank that he's the head of.
(11-18)
In thirteen instances, the subject of an object clause is dislocated to
the front of the clause and not of the sentence, as in 12:
12) And I reckon the man that made it, he thought he couldn't make
a living of it. (IV2-13)
Left dislocation thus can involve the subject of any clause in a sen
tence. It is just as wide-ranging for objects of verbs, although it


24
infer that its inhabitants are alike in ancestry and cultural back
ground, especially on the basis of a number of linguistic relics
apparently distinctive of its people. The most extreme forms of such
inferences issue an assertions that Appalachian people are "Elizabe
than" or that they preserve the "purest Anglo-Saxon blood in the United
States" or that they are "almost pure Scotch-Irish" (note the contra
diction here). These inferences have formed a part of the chronic
misconceptions about the inhabitants of Southern Appalachia.
Even such a serious commentator as Campbell has abetted such
inferences by his statement that Southern Appalachian people form "a
definite . racial group" (1921:xiv), although he conceived of
their having developed into such a distinct group of people by virtue
of "their common interests, hardships, and struggles" (p. 71) and not
by virtue of their lineal descent from one stock of Old World people.
His lengthy study of the surnames of early mountain settlers revealed
almost equal proportions of Scotch-Irish and English names, and a
large number of Germans as well:
Without a doubt the Scotch-Irish and English elements are the
strongest in the mountain population, though the Highland
people are not different from the Lowland Southerners in this
respect. The Scotch-Irish strain is strongest in some mountain
sections, the English in others; and in some communities may be
surmised an influence of German ancestry, (p. 71)
Several other groups, most especially the French Huguenots, were numer
ous among the early settlers in Appalachia too. Thus the region's
present-day descendants are a hybrid, whencever came their language (a


A DISCOURSE ANALYSIS OF
EXPOSITORY APPALACHIAN ENGLISH
BY
MICHAEL BRYANT MONTGOMERY
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
1979


128
Existent!ais have been widely recognized in the literature as
by Bayless and Johnson, as signaling "that new information is being
introduced without directly relating it to some old information"
(n.d.:37). But this function and the function of indicating that
something does or does not exist seem to be the only basic functions
of existentials. They do not possess the range of functions that left
dislocation has. Existentials are not used to indicate a contrast,
nor do they emphatically reintroduce an NP back into a discourse. Oc
casionally an existential will specify a subgroup of an NP which has
been previously mentioned (cf. left dislocation, pp 111-2 above), as
in 61 below:
62) The only opposition I would think uh that would come from
within this town to any one thing I guess would be maybe
opposition to alcohol. There'd be some opposition there.
TTTT2-26)
In two instances of the 320 an existential is repeated, as in 63 below,
to reinforce the effect of the first one:
63) . .there's more difference in the atmosphere, the people
and all from here to there than there was from, when I went
to Philadelphia. Yes, there really was. . (VI3-5)
It was indicated earlier that eleven percent of our corpus' left
dislocations occur at the beginning of an informant's response. Be
cause existentials also introduce pieces of information and partici
pants into discourse we should expect to find many of them occurring
exposition-initially also. Of the 200 selected expositions, 21 (10.5
percent of the total) begin with an existential. This is more than
begin with a left dislocation (16 of the 200, or 8 percent).


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.
Mho*
William Sulliv^h,'Chairman
Associate Professor of
Linguistics
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.
yean Casagrate
Associate Professor of
Linguistics
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.
I'U- V /-MVU
Roger ff. Thompson
Associate Professor of
Linguistics
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.
Norman N. Markel
Professor of Speech


156
In our data the presence of an introducer of some kind at
the beginning of expositions and paragraphs is typical. What
typically introduces our expositions is "well." We cannot claim
that it more commonly begins expositions than other kinds of dis
course or that its primary function may not be a general one to be
gin any conversation turn. But its great frequency (114, or 57 per
cent of the expositions examined begin with it) indicates that it is
a speaker's usual way of getting a monologue exposition underway.
In our data only two other introducers are used with any frequency at
all to begin discourses: "of course" (10 instances) and "now" (7 in
stances).
In chapter three it is shown that left dislocated NPs typically
begin paragraphs. If we look at the 190 left dislocations in the
200 selected expositions, we find that conjunctions typically accom
pany such NPs. In other words, conjunctions are frequent cues to
new paragraphs. Only 39 (20.5 percent of the total) begin with no
conjunction or other introducer. In such instances only the pause
accompanies the NP. Of the remaining 151, 60 left dislocated NPs
are preceded by either "and" or a combination of "and" and other
conjunctions or particles. Twenty-five are preceded by "but" or a
combination with "but." Seventeen NPs have "well" by itself or in
combination. Ten are preceded by "of course" by itself or in a
combination.
Twenty-nine of the dislocated NPs are preceded by a hesitation
"uh," either alone or with a pronoun. It is indicated in chapter
three above that left dislocation rarely involves a hesitation


CHAPTER II
BACKGROUND AND METHODOLOGY
Preface
The first chapter of this dissertation presents the non-linguistic
context of this study; this chapter discusses its linguistic context.
In the first part of the chapter several approaches to the analysis of
discourse structure are reviewed to put the analysis of oral expository
monologues into perspective. Then the methodology of this dissertation
is explained. The second section examines the importance of studying
monologue expositions. Then some remarks are made regarding the nature
of oral paragraphs, followed by a review of relevant studies of oral
and written paragraph structure. Finally Longacre's typology of dis
course genres is discussed.
The control of the five different contexts mentioned in chapter
one (speaker type, frequency of occurrence, social situation, task, and
linguistic position) makes this study a novel one. Also, as far as
this writer can determine, this study is the only analysis of the dis
course structure of oral expositions for any variety of American Eng
lish. Although much has been written about discourse structure in Eng
lish, oral expositions have been seriously studied only for other lan
guages (see especially Longacre 1968). This dissertation represents
the first time that the task of eliciting, analyzing, and then gener
alizing about a large corpus of expositions has been undertaken for
English. It therefore is an exploratory project.
61


119
No. of Sentences No. of NPs Thematic Percentage of Total
Beyond Introduction To This Extent
For Which NP Is
Thematic
1
61
32.1
2
32
16.8
3
22
11.6
4
17
8.9
5
14
7.4
6
6
3.1
7
5
2.6
8
8
4.2
9
7
3.7
10
5
2.6
10+
13
6.9
190
100.0
Figure 3.1 Extent To Which Left Dislocated NPs Are Thematic


58
almost certainly not have been so successful without the assistance
of the contact persons in White Pine.
Informants for this study were assured that their names would
not be revealed and that they would remain anonymous to all but the
fieldworker.
Taping of the Interviews
The interviews for this study were recorded on a four-track, reel-
to-reel Voice of Music model 733 Tape o Matic tape recorder at 3 3/4
inches per second. The tapes used were Scotch No. 207, 1800 foot
tapes, which, at 3 3/4 inches per second, allowed up to ninety minutes
of recording per track. In all eleven reels of tape were required.
Because of logistical difficulties, two interviews had to be re
corded on cassette tapes. These interviews are coded as tapes XII and
XIII in Appendix A.
The Value of Fieldwork
Since the ultimate value of doing linguistic fieldwork is to help
us better understand how people employ language, the fieldworker must
always remember that the interview is a very human event involving di
rect contact between two or more people. As Goldstein declares, "the
problem of fieldwork is essentially human" (1964:22), and more than any
thing else fieldwork is a venture in human relations. The fieldworker
cannot be detached from his informants, especially when subjects as
deep-felt as some of those covered in the present study's interviews


terms and that it should not be tied to old (given) information or to
a specific syntactic position, she defines theme as the "main idea" or
"central thread" or "nuclear constituent" at each level of language or
ganization, especially at the paragraph level (pp. vi-vii). Deriving
from Pike and Pike (1977), her view of theme is more intuitive than
ours. Although she believes each paragraph has a theme, she takes it
for granted that the written paragraphs she examines are thematically
unified and does not show how an anaphora or lexical chain identifies
a paragraph's theme. In our view, such a chain is the best evidence
for what a paragraph's nuclear constituent is.
Jones' primary concern is the examination of many "grammatical de
vices for highlighting theme" (pp. 169-220). Such devices which often
convey the theme of the written expository paragraphs she considers in
clude
1) Repetition of a word, phrase, or sentence;
2) Inversion of declarative word order;
3) Special constructions, including passive sentences and sentences
with an initial "as for. phrase;
4) Rhetorical questions;
5) Pseudo-cleft sentences (as "What is unique about milk is its
richness in vitamins and minerals"; we refer to such sentences
as "WH-clefts" herein);
6) Cleft sentences (as "It is the very mingling of races, dedicated
to common ideals, which creates and recreates our vitality"; we


152
Underlining is probably the most frequently used. (1976:228-9)
(According to Longacre (1976:217-8), rhetorical underlining comprises
"parallelism, paraphrase, and tautologies of various sorts" used by
an author to ensure that a reader or hearer does not miss a point.)
Peak then comes near the end of and represents a kind of climax to an
expository discourse or paragraph. In Longacre and Levinsohn (1978:
105) we find Longacre's most recent views on peak. Again he indicates
that only discourses which have tension have peaks:
If a discourse is plus tension, there will most likely be some
kind of climax of development, some marked surface structure
"peak". . For discourses that are not narrative but still
have a climax of development, the peak may mark "target pro
cedure" in a procedural discourse, "climactic exhortation"
in a behavioral discourse of the hortatory variety, and a most
satisfactory or "culminating explanation" in expository
discourse.
An examination of any of our discourses in which a speaker uses a
peak sentence reveals that precisely what a peak sentence does is
present the most satisfactory or culminating explanation regarding
a topic.
For a speaker to accomplish the task of adequately explaining a
subject, it is critical that his/her climactic or culminating point
get across to a hearer. Information therefore which represents the
peak or consummation of an expository discourse, sometimes of several
hundred words in length, must stand out to a hearer. A speaker must
make sure that the significance of such information is conveyed, even
if it must be explicitly pointed out. It is the pointing out of it
which the particular kind of peak sentence studied in this chapter
does, through the use of deictics, a cohesive device. A speaker need


99
is not as frequent. For example, in sentence 13 the object is dis
located from the matrix clause and in 14-5 from embedded clauses:
13) And whatever's to do, she takes it. (VI14-19)
14) Even public records, there's no place to display 'em. (14-14)
15) And my mother, I mean I've heard her tell lots about Mr.
Lawson Franklin, (III2-2)
In the data are 53 instances (8.7 percent of the total) of matrix ob
ject dislocations and 14 instances (2.3 percent of the total) of embed
ded object dislocations.
Left dislocations can also involve the object of a preposition
from the matrix clause (36 instance, 5.9 percent of the total), as in
16 below, from an object clause (8 instances, 1.3 percent), as in 17,
or an introductory adverbial clause (1 instance, 0.2 percent), as in
18:
16) My first car I had, I done most all the work on ft. (113-5)
17) All that white lightning and everything, you know they got
into vt somehow. (VII3-23)
18) And our husbands, if it wasn't for them, there's no way. (V1 -10)
This various display of forms illustrates that left disclocation can
involve NPs in many positions (more are given below). But it is not
meant to imply an essential difference between matrix and embedded
clause NPs with regard to dislocation. Indeed, such a distinction is
sometimes misleading because examples such as 8 above can be viewed as
dislocations from either the matrix or the introductory adverbial
clause. Those like 10 above have matrix clauses such as "you know,"


71
and attention is given in this study to variation in cohesive devices
between subgroups of the informant sample, according to either the
age, the educational level, or the socioeconomic background of the in
formants. Except for only a few scattered remarks (regarding the in
troducer "like," for example) nothing is said about differences between
individual or groups of speakers. If White Pine had been presumed to
be a homogeneous speech community, the care to interview a large and rep
resentative cross-section would not therefore have been taken. It was
found that the discourse devices under consideration in this study
showed inconsequential differences in function across the entire sample
of forty informants. None of the features were restricted to one subset
of the sample. The generalizations in this study resulted from their
obviously consistent functioning for all forty speakers.
This is not to say that no variation occurred in the frequency of
the realization of such devices as left dislocation. It was realized in
at least three instances for each speaker. But one speaker, a seventy-
year-old woman, had seventy instances. Hers was, however, by far the
longest interviewnearly three hours. Neither for the four informants
not native of Tennessee nor for the one native to Great Britain did left
dislocation function differently from White Pine natives. Peak sen
tences, with fifty instances, were used by twenty three speakers of many
different educational levels and socioeconomic backgrounds and thus dis
tribute broadly throughout the sample. Other devices may have varied in
frequency too. But none vary in function. More important, there is
little to suggest that any of the devices considered in this disserta-


143
then that's where I wet m.y husband, in Morristown. (Vl-1)
38) Now that's something they've done so much here, housing
development. That's what's turned White Pine around, that
low-rent housing development area, and, and uh, and uh, the
apartment complexes. (11-34)
In such instances, the appositions are exact or near exact repetitions
of something previously mentioned. "In Morristown" is nothing more
than an afterthought here. "That low-rent . complexes" is also
unnecessary for the discourse to be well-formed.
We may tentatively hypothesize than that identification sentences
with WH-clauses are anaphoric and that those without are cataphoric
to right dislocated or appositional information at the end of the
sentence. Why this might be so is not clear, but further evidence
of this distinction will be found in the next section's discussion
of peak sentences, to which we now turn.
Peak Sentences
We come now to a kind of structure found in our corpus which has
not been described in the linguistic literature to date. This struc
ture will be called a "peak" sentence and five examples of it are
39-43 below:
39) That's another thing we have through here's the Appalachian
Trail. (V3-4)
40) That's all he's ever got done in Washington is politics.
(VI2-20)
41) But that was the reason I gave was that I would like to go
to vote and give an opinion. (VI12-10)
42) That's the best way I ever found to think is just to walk
back up through the woods or something like that . .
(VII12-10)


20
The foregoing does not strictly hold for the Pentecostals, who do
consider themselves to an extent to be a people apart. The extremes
of Pentecostal ism in Southern Appalachia have long been pointed out
(as in La Barre's study (1964) on the snake-handling cult). One can
find congregations of "snake handlers" not more than twenty miles east
of White Pine in Cocke County. But people in the area overwhelmingly
view such practices as quite objectionable and offensive.
The primary functions of the church itself are to provide relig
ious services and training for its members, yet in a community where
such a large percentage of the inhabitants are members, churches inevi
tably offer more than the fulfillment of spiritual needs. Churches in
White Pine provide most of the organized social activities. Scheduled
weekend activities are relatively infrequent in White Pine, but any
given activity is more than likely a church-related one. Since 1975,
when the county's high schools were consolidated, the only organized
youth activities in White Pine are those that are church-sponsored.
In short, then, the influence of the organized religion in White
Pine is pervasive. The churces are viewed as having an indispensable
and rightful place in the life of the corrcnunity and in the life of the
individual.
The Southern Appalachian Region
Alghough the Appalachian Mountains extend thirteen hundred miles
from Vermont to Alabama, the region usually called "Appalachia" and


82
that such devices occur because they serve certain of a speaker's
pragmatic purposes.
The speaker's primary purpose in exposition is to convey new infor
mation to the hearer. For this reason the speaker/producer of a dis
course or text takes into account the presuppositions and expectations
of the hearer. The hearer expects the speaker to supply the necessary
antecedents and background for him/her to follow what is being said. In
other words, they have what is referred to as the
"Given-New Contract" of cooperation. The speaker must be aware of what
the hearer knows, which information has already been given to the hearer,
and which information will be new to the hearer. The hearer must make
the effort to follow the progress of the exposition.
It follows that any means which facilitates the fulfillment of this
contract and which makes an exposition easier for a hearer to follow may
well be used. While such thematic devices as left dislocation can appa
rently be used also for other pragmatic reasons, basically they seem to
facilitate this given-new contract between the speaker and the hearer.
Thematic devices present to the hearer what new information will be com
mented on in an ensuing message. This piece of information represents
what will be thematic for what follows and has the potential for being
the antecedent for the following block of discourse. It is only if the
hearer has such a piece of information, the theme, clearly in mind that
he/she can compute what the speaker says.
It is probable that the use of cohesive devices is especially fa
vored by a speaker in certain pragmatic situations. Left dislocation,


BIBLIOGRAPHY
Bailey, Charles-James N. 1968. Is There a Midland Dialect of
American English? ERIC 021 240.
Bayless, Richard L. and Linda K. Johnson, n.d. Function of Surface
Rearrangement Rules in English Discourse: Old and Mew Informa
tion. Manuscript.
Becker, Alton L. 1965. A Tagmemic Approach to Paragraph Analysis.
College Composition and Communication. 16. 237-42.
Becker, Alton L. 1966. Symposium on the Paragraph. College Compo
sition and Communication. 17. 67-72.
Berrey, Lester V. 1940. Southern Mountain Dialect. American
Speech. 15. 45-54.
Bicentennial Committee of Jefferson County, Tennessee. 1976. Heri
tage Jefferson County.
Bloomfield, Leonard. 1933. Language. New York: Holt.
Bond, George Foot. 1939. A Study of an Appalachian Dialect. Uni
versity of Florida thesis.
Bray, Rose Altizer. 1950. Disappearing Dialect. Antioch Review.
10. 279-88.
Brewer, Alberta and Carson. 1975. Valley So Wild: A Folk History.
Knoxville: East Tennessee Historical Society.
Brewer, Jeutonne and Paul D. Brandes. 1977. Dialect Clash in Amer
ica. Metuchen, Mew Jersey: Scarecrow.
Bridgeman, LoraineHall. 1966. Oral Paragraphs in Kaiwa (Guarani).
Indiana University dissertation.
Brinegar, Bonnie Carter. 1977. Analysis of Six Sequence Signals of
English Discourse. University of Southern Mississippi disserta
tion.
Brown, Calvin. 1889. Dialectal Survivals in Tennessee. Modern Lan
guage Notes. 4. 205-9.
Campbell, John C. 1969[1921], The Southern Highlander and His Home
land. Lexington: University Press of Kentucky.
172


45
Fourth, he had to determine the type of discourse to elicit and how
to devise a standard interview format which would best elicit it.
The ethnographic parameters were adopted according to Malinowski's
suggestions. He states that a fieldworker should make every attempt to
be an active participant rather than a passive observer-partial partic
ipant in the culture he is studying. He draws on his own experience
among the Trobrianders in showing why this is necessary:
There is all the difference between a sporadic plunging into the
company of natives, and being really in contact with them. What
does this latter mean? On the Ethnographer's side, it means
that his life in the village, which at first is a strange, some
times intensely interesting adventure, soon adopts quite a nat
ural course very much in harmony with his surroundings. Soon
after I had established myself in Omarakana, I began to take
part, in a way, in the village life, to look forward to the im
portant or restive events, to take personal interest in the
gossip and the developments of the small village occurrences; to
wake up every morning to a day, presenting itself to me more or
less as it does to the native....As I went on my morning walk
through the village, I could see intimate details of family
life;...I could see the arrangements for the day's work, people
starting on their errands, or groups of men and women busy at
some manufacturing tasks. Quarrels, jokes, family scenes,
events usually trivial, sometimes dramatic, but always signifi
cant, formed the atmosphere of my daily life, as well as of
theirs. (1922:7)
This researcher, of course, is neither a native nor a resident of
the White Pine area. He was a stranger to his informants initially.
At the same time, he is a native of East Tennessee and especially that
he is a relative of long-time White Pine residents enabled him to estab
lish immediate rapport with his informants. It was also recognized
that the interview situation would necessarily be an artifical one.
Goldstein defines an "artificial situation" as one in which an informant
provides information "at the instigation of the collector" (1964:82).


96
texts. Indeed, the devices would lose their strong impact if they
occurred with great frequency. It is their very occasional usage that
makes them espeically forceful in indicating thematic patterns'1 (p. 220).
Although the devices she discusses are similar in function to the the
matic devices we deal with here, the differences in kind and in fre
quency for such devices probably indicate that strategies employed in
oral expositions differ from those used in written expositions. The
great frequency of such a thematic device as left dislocation(606 in
stances for our corpus) indicates a more prominent role for thematic
devices in era! than in written expositions.
The present study differs from other treatments of theme in being
a data-based study of the nature, function(s), and distribution of the
matic devices in oral expository English. For the remainder of this
chapter we examine two such devices, left dislocation and existentials,
and show how they mark a paragraph's theme and indicate to a hearer
what a paragraph will be organized around.
In several cases the analysis in this chapter is based on a selec
tion of 200 expositions (five from each informant) and in other cases
on 80 expositions (two from each informant).
Left Dislocation
Although this chapter's primary concern is showing that left dis
location is a thematic device rather than displaying its various forms,
such a display yields strong evidence that left dislocation is properly
understood in discourse rather than in sentential terms.


37
other three in their investigations. Wolfram and Christian's study,
based on interviews made in the mountains of southern West Virginia,
classified their speakers socioeconomically and carried out quantita
tive analyses of many of the linguistic forms they discuss, thus pro
viding the speaker and frequency contexts for their data. Yet they
do not choose to base their work on a representative sample because
they were "primarily concerned with the language variety which might
be considered most divergent from some of the more mainstream varieties
of English" (1976:10). Their work is also written primarily for the
educational community and one-fifth of their book deals with the educa
tional implications of dialect diversity.
Hackenberg divides thirty nine residents of Nicholas County, West
Virginia, into four classes on the basis of education level attained and
occupation and quantifies the occurrence of "non-standard" verb agree
ment and subject relative pronoun deletion for his four classes. He
thus takes the first two contexts into consideration and even gives some
attention to the fifth context mentioned above, the linguistic context,
for his two linguistic features. The present writer demonstrates else
where (Montgomery 1977b) that his treatment of the linguistic context is
too simplistic.
A description of speech is ethnographically justifiable only if all
five contexts are controlled and taken into account. Only then can it
be claimed that the behavior described is typical (see the discussion of
the Malinowski/Firth "context of situation" later in this chapter).
This present study has striven to control all five. Thus it makes a
unique contribution to the study of Appalachian English.


72
tion are diagnostic of any of the speakers. A closer look might re
veal some kind of variation, but that would be the object of another
study.
The Study of Monologue Expositions
Linguists interested in supersentential segments of speech have
only recently heeded Firth's injunction of nearly a half-century ago
that "neither linguists nor psychologists have begun the study of con
versation; but it is here we shall find the key to a better understand
ing of what language really is and how it works" (1957a; 32). Only if it
is recognized that the function and manifestation of language is ba
sically conversation can language best be understood. Recent studies
on turn-taking, as by Sacks, Schegloff, and Jefferson (1974), recognize
the importance of studying blocks of conversational dialogue and have
shown that they have cohesion, just as other discourse blocks do.
Klammer (1971) is a study of written dialogue paragraphs and is also an
important contribution in this respect.
The present study does not take into account turn-taking phenomena
between the fieldworker and the informants. But it is consistent with
the conversational frame of reference for studying language. It does
not artificially cut up conversation and thus de-contextualize the
monologue discourses it analyzes. It views expository monologues as
parts of conversational exchange, the context for which was controlled
(as indicated in chapter one) by the fieldworker. Pike and Lowe see
monologue as occurring when "one individual of the cast stays fixed


162
Although this study is one of Appalachian English, its findings
are not claimed to be exclusive to it. Further investigations into
American English with the approach taken here should be carried out.


23
been considered in its heart. Further reason for designating White
Pine as an "Appalachian" community is presented below.
The linguistic analogue of Southern Appalachia is the South Mid
land area (Kurath 1949, Kurath and McDavid 1961), which encompasses
the mountain districts and also most of Tennessee and considerable por
tions of Mississippi, Alabama, and Georgia. This area, determined by a
combination of lexical, phonological, and morphological isoglosses, has
been traditionally viewed as more closely related linguistically to the
North Midland area (Pennsylvania and parts of Maryland, Delaware, and
New Jersey) than to the South.
The question of the relative affinity of linguistic and other
traits in Southern Appalachia (or the South Midland) to regions north
and south is still very much unanswered, in fact, but it will not overly
concern us here. In a provocative reassessment of the linguistic dis
tinctiveness of the area, Bailey (1968) concludes there is no "Midland"
area at all which has a core of distinctive features and that North Mid
land should be retermed 'Lower Northern' while South Midland be redesig
nated 'Outer Southern.' Gastil views the cultural affinities as
lying closer to the South: "Culturally the mountains are an extreme
version of the Upland [South]" (1975:194).
All this is not to say, of course, that even the most restricted
definition of Southern Appalachia implies that it is socially homogene
ous or that its people have a common background because they now may
share certain cultural or linguistic features or even a common outlook
on life. Yet commentators on the area, both native and non-native,


133
is generally less clear and much broader than it is for pronouns. None
of the three deictics in the examples above, for instance, clearly
refer to a specific NP or other element. More important than the
referential function of deictics is the function of pointing, of giving
the hearer directions in an ongoing discourse. Deictics serve primarily
to keep a discourse going, by pointing forward or backward, and they
play a large part in the organization of the expositions in our corpus.
The four structures we will examine are the most interesting involving
deictics but represent only a few which are important in organizing
ongoing expositions.
The other functions of deictics derive from the basic function to
organize a discourse. One of the most important of these is to signal
to a hearer a conclusion or summary statement. A speaker will often
use a sentence with "that" to indicate the end of a paragraph or dis
course has arrived, as in the following example:
4) My mother was born in Corbin, Kentucky. She was born in Corbin,
Kentucky. Uh, at a very early age, they moved to Kingsport,
and uh I don't know why, never asked. I didn't ask the reason
why, but they moved to Kingsport, and of course she was raised
in Kingsport. And of course that's where my father met her
was in Kingsport. And of course, when they, since they've
been married now for, well, he's lived down here now thirty,
it'll be thirty years in March. Same time when they all moved
down here. We all moved together (un-huh) thirty years ago.
That's a long time, making me feel old. (113-3)
In the two extended examples in chapter two above (pp. 69-70), we
also find deictics having this function. Such deictics mark the ends
of thematically self-contained units.
The third and fourth structures we will examine, identifying sen
tences and peak sentences, frequently display this summarizing function.


76
or too sparse to have developed well-tested tools to examine them.
Bridgeman's pioneering work on Kaiwa claims that oral paragraphs in
that language have one of a set of six phonological onsets and one of
three phonological codas, with an optional peak preceding the coda of
a paragraph. Lehiste has attempted to find, with as yet little suc
cess, the phonological correlates of paragraph boundaries by measuring
pausing, lengthening, and pharyngealization at the beginning and end of
sentences and paragraphs.
The isolation of the phonological features of paragraphs is the
subject for another dissertation. Only occasional observations regard
ing phonological matters are advanced in this study, when these features
are concomitant with the surface structure cohesive devices that we
analyze. More than likely a characteristic paragraph-initial lengthen
ing and/or pausing will eventually be shown to aid in giving paragraphs
coherence. One suspects, however, that no phonological signal will cat
egorically mark some part of a paragraph's structure. What one should
expect to find is that a significant coincidence of phonological and
grammatical signals co-occur at thematic breaks in a discourse. In
other words, phonological paragraphs should be to a great extent iso
morphic with grammatical and lexemic ones.
Paragraph structure can also be viewed as lexemic, involving how
the semantic resources of the language organize information into a the
matic unit for a given kind of discourse. Although a principled means
of approaching the lexemic paragraph has yet to be satisfactorily de
vised, quite a few lexemic functions which participate in paragraph


144
43) That's the biggest change that's been made since I remember
living over here is that shopping center. (X2-21)
Such sentences appear to be fusions of two identifying clauses. In
39, for instance, "That's another thing we have through here" appears
to be an anaphoric identifying clause which is fused with another
thing we have through here's the Appalachian Trail." By itself, the
first part seems to be anaphoric to something previously mentioned.
Combined with the second, it is not clearly anaphoric or cataphoric.
In our corpus there are fifty instances of such sentences in the
expositions of 23 different speakers. Forty-three begin with the
deictic "that," five begin with "this," and two begin with "it" and
will be considered with the forty-eight beginning with deictics. An
example with "this" and one with "it" follow:
44) This is what I do not like about the low-rent housing in
White Pine is that the people in White Pine really have no
say over it whatsoever. (X4-6)
45) It's the biggest thing that ever hit close to the town was
the truck stop, . (VIII2-19)
Although such sentences do serve to identify one part of a discourse
with another, like the anaphoric identifying sentences, we refer to
them as peak sentences because they are employed by a speaker to indi
cate a peak or culmination in a discourse. We return to this point
below.
In ten of the fifty instances, a WH-clause follows the intro
ducing deictic, as in 44 above, so that these peak sentences appear
to be fusions of anaphoric identifying clauses and WH-clefts. In all
the remaining forty instances peak sentences also represent


TABLE OF CONTENTS
Page
ACKNOWLEDGMENTS. iii
ABSTRACT vi
CHAPTER I INTRODUCTION 1
General Remarks 1
The White Pine Setting 4
The Economic Life of White Pine 15
The Religious Life of White Pine 17
The Southern Appalachian Region 20
The Study of Appalachian Speech 33
Fieldwork Procedures 38
The Sample 50
Transcription Procedure 53
Fieldwork Journal and Interview Catalog 56
Explanation to Informants 57
Taping of the Interviews 58
The Value of Fieldwork 58
Notes 60
CHAPTER II BACKGROUND AND METHODOLOGY 61
Preface 61
Discourse Studies and the Approach of This Study 62
The Study of Monologue Expositions 72
Oral Paragraph and a Review of Paragraph Studies 74
Longacre's Typology of Discourse Genres 84
Notes 88
CHAPTER III THEMATIC DEVICES 89
Introduction 89
Left Dislocation 96
The Variety of Forms 97
Specifications 104
Functions 109
Relationship to Subsequent Discourse 117
Existential Sentences as Thematic Devices 124
CHAPTER IV DEICTICS AND SUMMARY DEVICES. . 131
General Remarks 131
Left Dislocation with Deictics 136
Extrapositions with Deictics 137
iv


127
As a thematic device, the existential sentence does not have the
force of left dislocation, for perhaps three reasons. For one, it is
not a marked construction (in terms of information structure) as left
dislocation is. Not only is it normal, generally speaking, for the
first mention of a noun (except proper nouns) in a discourse to be in
definite. Left dislocation overrides this. But left dislocation also
has the effect of yanking an NP from its expected syntactic position
and bracketing it at the front of a sentence. Both left dislocation
and the existential are thematic devices and introduce themes, but the
former is a marked construction, the latter not.
Another reason is that an existentialized NP does not initiate an
anaphora chain nearly so often as a left dislocated one. In the exposi
tion above (p. 126), for example, four existentialized NPs ("people,"
"railroad," "depot," and "express office") are followed by at least one
anaphoric element each, but the other three are not. If these seven
NPs are typical, then themes introduced by existentials are not on the
average thematic for as long as those introduced by left dislocation.
A third reason is that existentials have another function which
competes with the function of thematization. This competing function
is that they are used simply to communicate whether something does or
does not exist or how much of something exists. Typically, existen
tialized NPs have quantifiers, as do the following:
60) And then there's a lot of flu going around. . (VIII2-16)
61) They's only one thing I'd like for this town to get. (VIII2-23)
Existential sentences with quantifiers in the data rarely initiate
anaphora chains.


12
old female quoted earlier put it,
...there are very, very wealthy people in this town, and there
are very, very poor people in this town. But to save my life,
I cant tell you what the difference is. I mean I can't point
to one person and say "Okay, this is a poor person and this is
a wealthy person. They, they blend.
This sentiment evidences the symbiosis referred to earlier.
One major division in the community is that between the middle
and older generations on the one hand and a large part of the younger
generation on the other. This division is a product of the rising ex
pectations of the town referred to above. In general the community is
more optimistic about its future than a generation ago because of im
proved local education. A comprehensive high school has been added and
a junior college has been opened five miles up the road. A more diver
sified job market has also developed. But most youths with professional
and career aspirations still see inadequate prospects in the nearby
area. Many of them, once they leave White Pine, are embarrassed to be
from the town. Often White Pine is for them a place to escape, a place
that can and does trap its ambitious youth. One twenty-nine-year-old
male characterized the town's subtle pressures not to aspire:
...most of the people prior to uh the sixties, when I got out,
they, they were settled. The idea was to, when you got out of
that high school was to get married, cause marriage was stabi
lization. You got married, you had children right then, as
quick as you could, because that made stay at home. You didn't
carouse. You didn't go on. You weren't apt to, to leave the
area and get involved in things that way.
This desire to escape is usually tempered by an attachment to the
familiar surroundings and personality of the town, though, so that some


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
A DISCOURSE ANALYSIS OF
EXPOSITORY APPALACHIAN ENGLISH
By
Michael Bryant Montgomery
August 1979
Chairman: William J. Sullivan III
Major Department: Linguistics
This dissertation contributes to the fields of discourse anal
ysis and Southern Appalachian studies by describing the discourse
functions of several linguistic structures from a large sample of
spontaneous expository (explanatory and descriptive) discourses for
a cross-section of informants from a small East Tennessee hill commu
nity. The community, White Pine, is a typical Southern Appalachian
one.
Five different contexts are taken into consideration for the
examined linguistic structures: 1) Speaker Type (a representative sam
ple of forty informants was interviewed); 2) Frequency of Occurrence
(data are quantified when possible); 3) Social Situation (researcher
assumed one role with his informants); 4) Task (a standard interview
was controlled to elicit only expository discourse); and 5) Linguis
tic (the sentence and discourse position of all data was considered).
This study is based on the premise that speech is hierarchical
vi


56
words (especially names) that only the interviewer can comprehend by
virtue of his having remembering the context of the interview.
Fieldwork Journal and Interview Catalog
In addition to the primary document, the tapes, and the secondary
document, the transcripts, two other document were assembled in this
project. A fieldwork journal of daily activities and observations was
maintained by the fieldworker. After a days fieldwork was completed,
a record of the day was entered into the journal. As mentioned earlier
in this chapter, this emulated the ethnographic diary that Malinowski
kept while among the Trobriand Islanders. Not only does such a journal,
maintained daily, allow a fieldworker to profit from his own experi
ences, his mistakes and his frustrations, but it also enables him to
make note of particularly successful and effective approaches and ques
tions for his later use.
The other document assembled was the interview catalog, compiled
for the researcher's ease of reference. It contains four kinds of in
formation:
1) The vital statistics on each informant (age, sex, level of edu
cational attainment, etc.);
2) The physical details of the interview: when and where it was
conducted;
3) A summary of how the interview itself went, how good the rap
port between fieldworker and informant was, and how helpful
the informant was;
4) A note on how the informant was contacted.


44
making arrangements with the contact persons in White Pine to spend
an indefinite period of time with them and his explaining what kind
of investigation he would undertake and who he would like to interview.^
A contact person is an invaluable bridge between a fieldworker and a
community. In it a fieldworker is initially a total stranger. He can
not reside long enough to become a familiar member of the community
(in White Pine or another typical small town in East Tennessee, this
would probably take several years in any case). This researcher's con
tact persons introduced him to many of his informants and gave him many
insights into the life of the local community.
In White Pine itself, four problems had to be resolved before
actual fieldwork (i.e. interviewing) could begin. First, the field-
worker had to be thoroughly familiar with the layout of the town and
the most important basic facts of daily life in the community. In this
he was primarily assisted by his contact persons. This included learn
ing the principal activities of the townspeople and the principal social
institutions in the community. He also had to determine the principal
concerns of life for the community. He was able to do this in the
course of the interviews.
Second, he had to establish the ethnographic parameters of his
work. This included his role in the community during his stay and in
the interview situation. Third, he had to choose a location for the
interviews, specifically, where they could be conducted comfortably.


63
cornucopia of observations on discourse that it should no longer be
asked "Is it worthwhile to do discourse analysis?" Rather we should
ask "What kind of discourse analysis will address significant ques
tions about how people organize their linguistic behavior?" Since
Grimes provides neither a methodology nor a point of departure for a
principled approach to the analysis of expository discourse (but nei
ther is his aim), we must look elsewhere for an approach to oral expo
sitions.
According to Widdowson, discourse analysts have generally taken
one of two basic points of departure. Either they have started with
the text or discourse as a whole or they have begun with sentences or
subsentences in an effort to identify their discourse function(s):
One general approach to discourse analysis, then, begins with
instances of discourse, with actual data, and moves towards lin
guistic units to the extent that this appears to be necessary
for the purpose of the description. The second approach moves
outwards, as it were, from the sentence, and deals with lin
guistic expressions as realized in discourse but with the ab
stract potential of linguistic forms. (1977:241)
The emphasis in the first approach is on the hierarchical nature of
discourse, in the second on the linear nature of discourse. There are
good reasons for choosing either point of departure and in many in
stances discourse analysts have taken one or the other and elected not
to move toward the other. Propp (1958) and a number of other writers
on folkloristics do not move toward linguistic units at all. Several of
the modern-day text grammarians (Pettifi and Rieser 1976, Van Dijk 1972)
also rely on abstractions from a text for analysis and are primarily


124
it is obvious, however, that conjunctions for our larger sample are
used in exactly the same way as those in the smaller one by speakers:
to indicate in many cases a change in theme for an ongoing discourse.
Conjunctions have functions other than indicating a paragraph's theme,
of course.
What then is the relationship between left dislocated NPs and sub
sequent discourse? An answer can now be given. Such NPs are normally
thematic for more than one sentence. After introducing an NP repre
senting new information into discourse through left dislocation, a
speaker normally maintains it as the theme until he explicitly indicates
btherwise. After a left dislocation, a hearer expects the ensuing dis
course to be thematically unified around what has been dislocated. This
expectation on the part of the hearer is frequently facilitated by a
speaker's use of anaphora referring to the theme. When a speaker wishes
to turn to a new theme, he/she uses one or another device for the hear
er's benefit to indicate this is happening. A writer uses an indenta
tion to signal a change in theme and hence the beginning of a new para
graph; a speaker uses an analogous cohesive device which is verbal to
indicate a change in theme and the beginning of a new (oral) paragraph.
We may conclude then that, at least for our corpus, the fundamen
tal function of left dislocation is the creation of paragraphs.
Existential Sentences as Thematic Devices
The other thematic device which is widely found in our corpus of
expositions is the existential sentence, a kind of sentence which nor
mally begins with "there" and indicates the existence or non-existence


CHAPTER VI
SUMMARY AND CONCLUSIONS
This dissertation was undertaken because of the long neglect
of the discourse level of analysis pertaining to American English.
Appalachian English was the variety of American English chosen to
study on this level because of its accessibility to the researcher.
The researcher undertook his own fieldwork and collected sufficient
data for this study to come to several important conclusions.
This study is about one aspect of how people in one small town
talk: how they organize what they have to say when they explain them
selves to a non-resident of that town. It shows that oral expositions
tend to be organized into blocks of thematically-unified information
called paragraphs and that paragraphs characteristically have one
theme each.
The organization of information into expository paragraphs is
shown in this dissertation to be reflected to an important degree by
certain devices called surface structure cohesive devices. It is
shown that speakers often rely on these devices to indicate to hearers
how a spontaneous monologue exposition is organized.
Extended speech thus normally has structure similar in kind to
extended segments of writing, although the devices used to reflect
this structure are different at least for the oral expositions exam
ined in this study.
161


114
Before examining how left dislocated NPs are related to subse
quent portions of discourse, we examine here more closely which types
of NPs are dislocated, and their distribution is also examined here.
If left dislocation usually introduces new information and is a
stage-setting device for the ensuing discourse, we would expect numer-
our dislocated NPs to come at the very beginning of an informant's
response to a question, where the speaker is probably most likely to
make introductions. Of the 606 instances of left dislocation in our
corpus, 67 (11 percent) are of this kind. In the example below, "at
White Pine" is dislocated in order to set a stage or frame of refer
ence for what comes after:
50) Fieldworker: How do the two schools compare?
Informant: Well, at White Pine, you know, you're really more
of an individual there. When we moved out to our new high
school, you were just like a person in a crowd, but as you
get older and stuff like that. . (VI11-1)
In general left dislocation does tend to involve NPs coming early in
expositions rather than late, but it is not a very strong function of
discourse-initial position.
If left dislocation is primarily a character-introducing device,
we would expect a large majority of dislocated NPs to be animate ones.
Because left dislocation can involve locative and temporal pieces of
information, it is clearly not restricted to only animate NPs. About
two-thirds (402 of the 606, or 66.3 percent of the total) of the dis
locations are animate, a strong if not overwhelming .. majority. One-
third then introduce inanimate NPs newly into discourse.
If left dislocation were a device for introducing active partici
pants rather than any thematic character, we would expect most


32
The self-reliance of the region's people has another side to it, as
Ford (p. 13) points out, in their attitude of acceptance toward federal
welfare and assistance programs. Odum remarked over forty years ago that
the people of Southern Appalachia, "reputed to be the most individualis
tic of all the regions, they cooperate most fully with Mew Deal tech
niques" (1936:97). Notwithstanding scattered initial opposition (primar
ily by those whose lands would be claimed by the reservoirs), the people
in the White Pine area and throughout East Tennessee have accepted and
cooperated with TVA's many programs. There was little reluctance to
accept whatever federal assistance was proffered.
The traditionalism and fatalism characterizing Appalachian people
are attributed to their struggle of many generations with the harsh reali
ties of life in a region with few resources and little available produc
tive land, according to Ford (1962:16). Weller (1965:33-40) shows how
such themes flow throughout mountain songs, stories, and daily attitudes.
In White Pine it is manifest in the strong and widespread doubts about
the value of change, of progress, and of post-high school education (see
quotes above, pp. 12-3). The twenty-nine-year-old male quoted above
says, regarding the community's residents,
They're...blinded really to what's, what's going on, I think.
They don't see their youth. They don't see, they don't see life
as progressing. They just see it as, as a tolerable state to be
in, and you just tolerate it now and hope for the future, yet you
don't work for it. You don't do anything working hand in hand.
As indicated above (pp. 8-9), recent changes and pressures for more
changes have made life more complex and confusing for many in White Pine.


77
structure have been pointed out. Klammer (1971), largely adopting
his functions from Wise (1968), mentions addition of participant, elab
oration, comment, specification, contrast, reason, summation, conclu
sion, setting, and result. But it has been difficult to show how these
functions are organized linearly, as Longacre has done for the grammat
ical units of the paragraph. The set of such functions has seemed
open-ended and at the same time we have not yet found, according to
Pike and Pike, "a way to treat some of them in a linear fashion, in
order to be able to perceive them as something 'going on"1 (1977:364).
This difficulty of formulating the lexemic structure of actual
paragraphs has in recent years caused lexemic structure to become
viewed as "deep" in contrast to the "surface" structure of paragraphs
being grammatical. The problem has become one of showing how lexemic
functions or units were realized by grammatical ones. Otherwise, lex
emic paragraphs would be only hypothetical. The problem of the extent
of isomorphism was tackled by Wise (1968) for oral narratives in Noma-
tsiguenga and for written dialogues in two English texts (I Henry IV
and Great Expectations) by Klammer (1971). It is useful to quote at
length the remarks of Wise:
Lexemic structure, as the term is used here, is a variety of
deep structure. For example, "logical subject" and "logical
object," i.e., agent and goal, are constituents of lexemic con
structions on the clause level. In levels beyond the sentence
the lexemic order of constituents is, in general, the chronolo
gical order of events in the narrative. Paraphrase and syno
nymy are important for the analysis of lexemic sentences and
phrases as well as for the analysis of lexemes which are posited
as the minimum lexemic units.


120
several sentences or at least until a speaker signaled to a hearer
that it were no longer the theme.
In looking at the sixty-one instances of left dislocated NPs in
our corpus which are thematic for only one sentence, we find that in
the majority (46 of 61) of them a speaker employs one or two of the _
cohesive deivces (thematic devices and conjunctions especially) to in
dicate to a hearer that a theme will not be maintained. In the re
maining fifteen instances the speaker provides some other other expli
cit signal. Most often a speaker will use a thematic device, either
another left dislocation or an existential, or one or more conjunc
tions, another kind of surface structure cohesive device which will be
our concern in chapter five. These devices indicate to a hearer that
a change in subject or in direction of a speaker's exposition is tak
ing place. They are part of a speaker's repertoire of devices for
structuring an ongoing monologue.
In eighteen of the sixty one instances we find another theme ex
plicitly introduced in the following sentence. Ten of these involve
another left dislocation, two an existential sentence, and six the in
troduction of another character into the discourse. In twenty-eight
instances one or more conjunctions or sequencers or interjections are
used to show the hearer a change in direction. These conjunctions and
other structures are shown in Figure 3.2 on the following page. More
often than not, these conjunctions are preceded or followed by a pause
or a hesitational "uh" which reinforces the change of direction they
signal to a hearer. Also, they often accompany thematic devices and
further strengthen a speaker's change of theme signal.


69
of a paragraph's grammatical structure and to a significant extent in
our White Pine expositions a paragraph's theme is marked by one of the
two constructions mentioned. In Longacre's most recent view of the
grammar of the paragraph, he indicates that "we find the paragraph
built around a theme that is not different in kind from a thematic par
ticipant" (Forthcoming:118). Our chapter three confirms this for expo
sitions.
Two other types of devices, deictics and summary, are considered
together in chapter four because deictics are frequently employed to
make summaries in our expositions. In general, deictics (especially
the word "that") help keep track of thematic information in a paragraph.
We will examine four uses of deictics in chapter four: 1) as the prono
minal reference in left dislocation; 2) in extrapositions; 3) in iden
tifying sentences; and 4) in what we will term "peak" sentences. An
example of a peak sentence is underlined below:
Fieldworker: What would you say have been the most significant
changes you've seen in the town in your few years here?
Informant: Most significant change I've seen is the, the intru
sion or the coming in of, of new people. White Pine is no
longer the same town it was eight and a half years ago because
of its growth, uh because of people with different backgrounds
having moved into our town, (uh-huh) Uh therefore it has
changed the complex of our town tremendously. Uh I think this
is the greatest change that has happened in our town is to
have new people coming in with new blood, new thoughts, new
ideas, new approach to things. (X4-4)
We will see that such sentences represent another unit in the grammati
cal structure of the paragraphthe peakand we will confirm the view
of Longacre and Levinsohn that, in expository discourse, the peak is
'the culminating explanation" (1978:105).


67
3) Participant anaphora;
4) Deictics;
5) Lexical ties and paraphrase;
6) Summary and preview;
7) Conjunctions and introducers;
8) Backreference.
Given the time limitations of this study, four of these devices (the
role of tense and voice, particles and affixes, lexical ties and para
phrase, and backreference) are not considered in this dissertation.
The remaining four (participant anaphora, deictics, summary and pre
view, and conjunctions and introducers) are the concerns of chapters
three through five herein.
The second hypothesis of this study is that the grammatical struc
ture of oral expository paragraphs is organized to a significant degree
by certain cohesive devicesthe other four discussed by Longacre and
Levinsohn. It investigates this hypothesis by examining the function(s)
and distribution of these devices.
The device called "participant anaphora" has to do with the identi
fication of participants in a discourse: "Participants can be identified
by name, by a common noun, by pronoun, by an affix, or just by zero.
Such variations in anaphora are never unmotivated. Most commonly, the
domain of the participant anaphora chain is the paragraph" (Longacre and
Levinsohn 1978:108). We will here be concerned with only one link in
this chainthe first(many linguists have studied anaphora: Gutwin-
ski (1976), Brinegar (1977), Hinds (1977) and others) and will call this


50
worker to introduce himself and to tell about his family was indispen
sable in establishing the uninhibited rapport that he desired. The in
terviewer's family was of more concern to the informants than his mo
tives for interviewing.
In his view, the fieldworker was able to establish quite good rap
port with each of his informants and excellent rapport with nearly all
of them. This resulted in not only a good corpus but also a number of
good friendships with individuals in White Pine.
The Sample
According to the 1970 United States Census, the population of the
town of White Pine was 1,532. It had grown to an estimated 1,830 by
1977. But the community of White Pine as defined by its residents in
cludes both the area outside the city limits and the adjacent neighbor
hood of Leadvale, bringing the total population of the area in which the
interviews were conducted to approximately 3,000 persons in 1978. Of
this base population of 3,000 a sample of forty residents was inter
viewed. This constitutes 1.3 percent of the whole. The interviews
average roughly one hour each, the shortest being thirty-five minutes
and the longest more than two hours.
The sample of forty informants is both a broad and a representative
cross-section of the White Pine community. The informants represented
all post-adolescent age groups and a wide variety of socioeconomic and
educational backgrounds. In age they range from sixteen to eighty-seven
as distributed among the following cells:


9
its citizens feel that the current pace of change in housing, in the
economic pressures on the town, and in the arrival of new people de
manding more from the town than it can offer is accelerating out of
control. Not too many years ago White Pine residents did pretty much
know everyone else in town, but with new residents recently moving in
faster than ever, they feel uneasy and sense a lack of cohesiveness
they once took for granted. Many of the longtime residents have a
strong sense of the symbiosis of the community, of how everyone plays
a part in supporting the general welfare. A typical expression of
this was made by a thirty nine year old female:
It's a feeling of closeness and connentuity [sic]. If I could
draw you a picture, I would draw you a big ball of people all
wrapped up together, like worms. You know, like you're fishing
with worms, and all those worms are intertwined. That's the
way this town is.
For many, though, this sense of closeness and symbiosis is inseparable
from the "traditional" way of doing things, so that change is threat
ening.
Probably the most important event in the past fifty years for
White Pine and East Tennessee is the arrival of TVA. For White Pine,
the coming of TVA has in a sense been responsible for most of the
changes during the past forty-five years (TVA began in 1933, and the
construction of Douglas Dam near White Pine began shortly thereafter).
TVA's initial effect was to dislocate many farmers in Jefferson County
from good bottom land and to resettle them, which was the cause of some
resentment. Today few people in the county regret the changes TVA made


145
combinations of well-known patterns. Peak sentences are clearly well-
formed fusions and are not faulty constructions.
It is not altogether clear, however, how the internal structure
of such sentences should be analyzed. What is the subject of a
sentence such as 44? Most likely it and other peak sentences are
best viewed as having sentential subjects and being representable
in such a tree-diagram as
46)
UP VP
But if we look at a peak sentence in isolation from its discourse
context, there is no reason not to propose a structure like 47:
47)
5
V up
. /
IS
\aJ1m4? is u1


90
substitutes (pronouns, for the most part) in a paragraph of language
which refer to a common piece of information or theme and is a special
kind of equivalence class. According to Becker (1965), an equivalence
class includes not only pronouns and demonstratives but also the repe
tition of words and their synonyms. Although not every paragraph in
our corpus has an anaphora chain, those which begin with a "left dis
located" NP nearly always do. In the two following examples the links
of the anaphora chains are underlined:
1) Fieldworker: Have you participated in any of the Pine Day cele
brations here in town? Have you attended any of them?
Informant: Yes, I usually go, because the ladies of our church,
we usually have a booth. We bake things, and so we have a
sale. That's a big day for ijs, you know. That's a way to
make uh some money for our uh projects, and thinqs like that,
and that's how we were able to help pay for our uh paint that
recently that we uh, we painted the inside the church. The
ladies did a little painting, but, but we did have enough
cash to buy all the paint. (II14-15)
2) ...This property that he, he let us have then for the parsonage,
build a parsonage of ft, ft, at one time there was, was a school
there. I was going to relate that to you. There, that's where
that I went to school, and my first eight years of schooling
was right there. And at this old school, that's where this par
sonage now sets across from our church. (II12-1)
In the first example, "the ladies of our church" is clearly the theme
of a block of information several sentences beyond its introduction. We
find ten pronouns referring back to it and one repetition of "the la
dies." In the second example, the theme is "this property. it is
around the property that the remainder of the exposition here is orga
nized. The anaphora chain contains such a pro-word as "there," since
the piece of information which is left dislocated and which is thema
tic is a locus. We see in these examples that theme is not just an


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 EVBK1YOW4_BJMZCN INGEST_TIME 2012-12-07T20:48:44Z PACKAGE AA00012898_00001
AGREEMENT_INFO ACCOUNT UF PROJECT UFDC
FILES


170
F: I've talked to a couple of younger people, say, in their mid twen
ties who said that, . .every time he comes here he sees a new
house going up and he feels a little pang of something.
I: Well, it, it is. We're growing. Uh ten years from now, I, I
wouldn't really want to uh say how big we'll be. We may be ten,
fifteen thousand. Just depends of a lot of things, (hmm) but uh
it, it's true. There's a lot of new, new uh houses being built.
In fact, you can't drive in the city any time that you don't see
either one uh just being started or being completed or something.
F: Is this the kind of place you think you would like to settle down
in for a long while?
I: Yes, I have no, I have no uh desire to go anywhere, other than vaca
tions. Uh course, I'm from a small community, (uh-huh) just east of
here a few miles and it's what I'm used to. I have no objections
to the way uh, the way the people are here, with the exception of a
few. Course, that's always the problem, (uh-huh) Uh but I'd like
to see it grow, not tremendously, but a little at a time, (uh-huh)
and uh have more things to do for the, especially for the young. I
think they, they should, they deserve. Course I, I know, you and
I were both young once and we'd uh like to had a lot of things that
we didn't have, and it's not changed. Kids today feel the same
way we did. (uh-huh) There's a lot of things they'd like, and I'd
like to see it. Course, it takes money. You talking taxes. Peo
ple just scream when you holler raising taxes. White Pine has the
lowest tax rate in any city, I would dare say, in the United States.


35
selection of grammatical, lexical, and pronunciation features in
mountain speech from North Georgia, v/ith accompanying citations from
sixteenth-century British literature wherever possible. In chapter
three she bewails the inevitable passing of the mountaineer with the
coming of modern education and technology, which will "wipe away for
ever our admirable mountaineer with his quaint and delightful manner
and speech" (p. 30).
Even well-known early scholars of the speech of the region are
given to such vague statements as "in general, most vowels may be used
interchangeably. Most vowels may replace 'e, 1 i,1 and V" (Combs
1931:1315).
But the most fundamental deficiency of almost all studies of
Appalachian speech to date is that they provide absolutely no context
for their data. It is impossible to understand a language fully unless
we have information regarding five different kinds of context for lin
guistic data:
1) Which part of the speech community uses the form(s)? (Old or
yound, middle or lower class, rural or urban speakers, etc.)
2) How often is a form used? (Is it categorical or extremely
rare or the predominant usage?)
3) In what kind of social situation is the form used? (i.e., What
style of speech is involved?)
4) What communicative task is a speaker performing when a form
is used?