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CHAPTER 8

UNDERSTANDING MEASUREMENT, DEVELOPING


QUESTIONS, AND DESIGNING THE QUESTIONNAIRE
LEARNING OBJECTIVES

• To understand the basics of measurement regarding people, places, and things

• To recognize the three types of measures used by marketing researchers

• To examine three scale formats commonly used by marketing researchers

• To see other scale formats commonly used in marketing research

• To appreciate the basic functions of a questionnaire

• To learn the dos and don’ts of question wording

• To learn the basics of questionnaire organization

• To understand the advantages of computer-assisted questionnaire design software

• To comprehend coding of questionnaires

CHAPTER OUTLINE

Basic Concepts in Measurement

Types of Measures

Nominal Measures

Ordinal Measures

Scale Measures

Interval Scales Commonly Used in Marketing Research

The Likert Scale

The Semantic Differential Scale

The Stapel Scale

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Reliability and Validity of Measurements

Designing a Questionnaire

The Questionnaire Design Process

Developing Questions

Four Dos of Question Wording

Four Don’ts of Question Wording

Questionnaire Organization

The Introduction

Question Flow

Computer-Assisted Questionnaire Design

Questionnaire Creation

Skip and Display Logic

Data Collection and Creation of Data Files

Data Analysis and Graphs

Coding the Questionnaire

Pretesting the Questionnaire

KEY TERMS

Measurement Properties

Objective properties Subjective properties

Scale development Nominal measures

Ordinal measures Scale measures

Interval scale Ratio scale

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Workhorse scales Likert scale

Lifestyle inventory Semantic differential scale

Halo effect Symmetric interval scale

Nonsymmetric interval scale Reliable measure

Valid measure Questionnaire

Questionnaire design Question bias

Question development Question evaluation

Leading question Loaded question

Double-barreled question Overstated question

Face validity Questionnaire organization

Introduction Undisguised survey

Disguised survey Incentives

Anonymity Confidentiality

Screening questions Question flow

Warm-up questions Transitions

Skip question Classification questions

Computer-assisted questionnaire design Skip logic

Display logic Coding

“All that apply” question Pretest

TEACHING SUGGESTIONS

1. Measurement of a construct requires an operational definition. Instructors may want


to review this concept and elaborate on how an operational definition indicates how a
construct’s subjective and/or objective properties are measured on a scale. For
instance, “purchase intention” may be operationally defined as a respondent’s

Copyright © 2014 Pearson Education, Inc. 105


indication on a 7-point scale where 1 corresponds to “not at all likely” and 7 pertains
to “very likely” to purchase the brand at his/her next purchase.

2. Scale development in an academic context is much more rigorous than in an applied


context. If an instructor desires to bring this difference to students’ attention,
Churchill’s scale development paradigm is a good vehicle. A slightly different
approach would be to relate the scale development steps reported in a recent scale
development article.

3. To help students understand the idea of measurable qualities, have them generate as
many different rating aspects of one or more of the following:

• A convenience store
• A department store
• A new automobile

Use class discussion to point out how customers may harbor positive ratings on some
qualities, but negative ratings on others, and how this information has important
marketing implications.

4. Numerical versus letter grades can be used as an example of how higher-level scaling
assumptions provide more information than lower-level ones. For instance, take
numerical grades. Suppose one student has an 89 average, and another student has an
81 average. Assuming that 80-89 defines the “B” letter grade range, both are B
students, but the 89 student is close to an A, while the 81 student is close to a C. This
closeness is not contained in the ordinal letter grade system, but it is in the numerical
ratio system.

Class discussion can focus on whether it is better to have a ratio scale (1-100 scale) or
an ordinal scale (A-F scale) as a way to measure the goodness of students. How
would students feel about a nominal system of pass-or-fail. Hopefully students will
desire a more sensitive scale rather than a less sensitive one. The point is that with a
low level scale, there is little information about the performance of the individual
student.

5. It is useful to remind students of the inability of observation and most other


qualitative methods to look into the minds of those people being studied. The reason
for scaling stems from a need to standardize respondents’ answers into a consistent
format that can be used to summarize and compare their answers.

An in-class exercise can be used to illustrate the need for and benefits of using
standardized scales. Select some subject with some controversial or emotional aspect
to it. Possible college examples include: dropping football from the athletic program
to save money, requiring freshmen and sophomores to live on campus, creating a
walking campus with no student or faculty vehicles allowed, or not awarding a
diploma unless the graduating student signs an agreement to contribute 1 percent of

Copyright © 2014 Pearson Education, Inc. 106


his or her income to the alumni fund. Have students write down how they “feel”
about the issue. Gather up the written comments and assign the task of compiling the
reactions to a team of three or four students. Once done, have other students observe
how the team goes about the compilation task.

Class discussion should bring out the fact that the qualitative information required
judgments along the way by the compilation team. Next, have students rate their
feelings on the controversial topic using a 7-point negative-to-positive scale. Have a
student team compile these responses with the rest of the class as observers. It should
be apparent that the use of a rating scale greatly simplifies the judgments and
compilation activities.

6. Life styles and their measurement is a good research topic. Assign the topic to a
student or a student team to perform library research on it and report findings to the
class. You may want to expand the assignment to include VALs which is an Active
Learning Exercise in the chapter. Sending students to the SRI VALS home page is
always a fun experience for students. With a multimedia teaching room, instructors
can visit SRI’s web site and demonstrate VALS in class.

7. It is sometimes possible to demonstrate the halo effect to students by having them


inspect the questionnaires from a survey that used a semantic differential or similar
scale. Sometimes a respondent will place check marks all on one side, the other, or
down the middle of the scale. Alternatively, students can see that a respondent has
used the scale correctly when the check marks are consistent with the reverse
positions of the scale items.

8. Contrasting a telephone questionnaire to one that is self-administered will emphasize


how telephone administration constrains the choice of scales and further requires the
interviewer to describe the scale to the respondent. With self-administered
questionnaires, the format and instructions are facilitated by the visual context.
Divide the class into two teams and have one team design a telephone questionnaire,
while the other designs a mail questionnaire. The topic might be to determine the
satisfaction level of car buyers with the automobile’s style, handling, fuel efficiency,
and passenger compartment roominess. The need to tailor the questions to the form
of data collection can be emphasized by comparing the two questionnaires.

9. The 4 “do’s” and 4 “do not’s” described in the chapter are not easy for students to
remember. A “divide and conquer” strategy is to assign each student (or student
team) one “do” or one “do not” with instructions to formulate a question that
illustrates the error quite well. Students can share the questions they formulate in
class. You might have a contest by class vote as to which one is the best (easiest to
relate to or remember) for each of the 4 do’s and each of the 4 do not’s items.
Prepare a list of the winners for distribution the next time you teach the class.

Copyright © 2014 Pearson Education, Inc. 107


10. There are other computer-assisted questionnaire design programs on the market.
Many of these companies have web sites, and some allow downloading of evaluation
copies of their products. One approach is to have students or student teams review
and demonstrate different computer-assisted questionnaire design software. Of
course, we are partial to Qualtics, but this approach will reveal alternatives with
particular capabilities or features that apply to special types of questionnaire
situations or question form. If student need help identifying these programs, here is a
list that was supplied on the “SurveyMonkey” web site at one time.

Zoomerang™ SuperSurvey Greenfield Online


Infopoll Perseus PollCat
Inquisite Cool Surveys Survey System
Apian Software Hosted Survey SurveyView
StatPac SurveyGold Survey Select
InstantSurvey EZSurvey Mercator
SurveyCrafter PollPro SurveyHeaven
Surveywire ObjectPlanet SurveySaid
mantaINSIGHT Active Websurvey SumQuest
CustomerSat StatSurvey SurveySite
QuickSense SurveyTrends LiveSurveys
InSite Websurveyor

ACTIVE LEARNING EXERCISES

Construct a College Student Life Style Inventory

Students must develop a life style statement for each dimension using the
recommendations in the Likert scale section – “With this scale, it is best to use “flat” or
plain statements and let the respondent indicate the intensity of his or her feelings by
using the agree-disagree response continuum position.” Representative statements are
provided in the table.

College Life Style Your statement


Dimension
Studying I am a studious person.
Going out I enjoy going out.
Working I work to gain experience in my major.
Exercising I exercise regularly
Shopping Shopping is a large part of my life.
Dating I usually go out on dates as much as the average student.
Spending money I like to make purchases.

Can you identify what is “bad” about a question and correct it?

Copyright © 2014 Pearson Education, Inc. 108


Bad Version of the What’s the error? Good Version of the
Question Question
How do you feel about car Lacks focus How do you feel about
seats for infants? requiring infants to ride in
car seats?
When your toddler wants to Not grammatically simple Does your toddler usually
ride in the car with you as ride in an infant car seat?
you run errands or pick up
your older children at
school, practice, or some
friend’s home, do you use
an infant
car seat?
If using an infant car seat is Double barrel (not Make into three questions
not convenient for you to convenient; in a hurry; or three question parts: Do
use, or when you are in a toddler is crying) you use an infant car seat
hurry and your toddler is when:
crying, do you still go It is not convenient?
ahead and use the infant You are in a hurry?
car seat? Your toddler is crying?
How much do you think you Not grammatically simple How much do you think
should have to pay for an you should pay for an infant
infant seat that retrains and seat that protects you child
protects your toddler in in a car accident?
case someone runs into
your car or you lose control
of your car and run into a
light post or some other
object?
Shouldn’t concerned Leading question Parents of toddlers should
parents of toddlers use use infant car seats. (agree-
infant car seats? disagree scale)
Since infant car seats are Leading and loaded To what extent to you agree
proven to be exceptionally that infant seats protect
valuable, do you agree that infants in car accidents?
infant car seats should be
used for your loved ones?
Do you think that parents Double barreled Should parents use infant
who are responsible citizens seats with their children?
and who are aware of
driving dangers use infant
car seats?
If you had an accident with Overstated Do you believe that infant
your toddler on board, do car seats are valuable?
you believe an infant car
seat could protect your

Copyright © 2014 Pearson Education, Inc. 109


child from being maimed?

Decide on Questionnaire Order in a Questionnaire

Research Objective and How to measure? Location on the Questionnaire


Description and Reason(s) for This Location
Will the restaurant be Describe the restaurant Place after the warm-ups as the
successful? concept and asked description takes concentration on
Will a sufficient number intentions to purchase the part of the respondent and
of people patronize the there on a scale. there is an intentions scale used
restaurant?
How should the Determine respondents’ Logically follows the description
restaurant be designed? preferences for each of the of the new restaurant so
What about décor, several possible design respondents can relate these
atmosphere, specialty features on a preference questions to the restaurant concept.
entrées and desserts, wait scale
staff uniforms,
reservations, special
seating, and so on?
What should be the Describe standard entrees Logically follows the preferences
average price of entrées? and example house for new restaurant so respondents
How much are potential specials and obtain how can relate these questions to the
patrons willing to pay for much respondents are expected prices.
the entrées as well as for willingness using price
the house specials? ranges
What is the optimum Determine farthest driving Logically follows the description
location? distance respondents are of the new restaurant and may be
How far from patrons’ willing to drive to the new before or after the preferences so
homes are patrons willing restaurant for each respondents can relate these
to drive, and are there any location feature. questions to the expected prices.
special location features
(such as waterfront, ample
parking, etc.) to take into
consideration?
What is the profile of the Ask for demographics of Demographics are placed at the
target market? the respondents end of the questionnaire

What are the best Determine normal use of These are quick and easy to
promotional media? various local media such answer, so they can be warm-ups
What advertising media as newspaper, radio, or otherwise placed at the
should be used to best television and obtain beginning of the questionnaire.
reach the target market? specifics such as what
newspaper sections are
read, what radio
programming, and what
local television news

Copyright © 2014 Pearson Education, Inc. 110


times watched

ANSWERS TO END-OF-CHAPTER QUESTIONS

1. What is measurement? In your answer, differentiate an object from its properties,


both objective and subjective.

Review question. This question refers to basic measurement concepts.

Measurement is defined as determining the amount or intensity of some characteristic


of interest to the researcher. A measurable characteristic is called a property.
Objective properties are physically verifiable characteristics such as age, income,
number of bottles purchased, store last visited, and so on. Subjective properties are
those which cannot be directly observed because they are largely influenced by a
person’s judgments or impressions. In this case, the marketing researcher must ask a
respondent to translate his or her feelings onto a continuum of intensity.

2. Distinguish the three measures used in marketing research.

Review question. Students must describe the three types of measures and their
respective characteristics.

The three types of measures are nominal measures, ordinal measures, and scale
measures (which include ratio scale measures and interval scale measures).

Nominal measures are defined as those that use only labels, possessing only the
characteristic of description.

Ordinal measures permit the researcher to rank order the respondents or their
responses.

Scale measures are those in which the distance between each level is known. There
are two types of scale measures, ratio scale measures and interval scale measures.

3. How does an interval scale differ from a ratio scale?

Review question. Students must differentiate between the two types of scales.

Ratio scale measures are ones in which a true zero origin exists—such as an actual
number of purchases in a certain time period, dollars spent, miles traveled, number of
children in the household, or years of college education. Interval scale measures, on
the other hand, are rating scales for subjective properties where, for adjacent levels,
the distance is normally defined as one scale unit.

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4. Explain what is meant by a continuum along which a subjective property of an object
can be measured.

Review question. This question will necessitate understanding the measurement of


subjective properties.

Subjective properties are unobservable. When a subjective property such as an


attitude or an opinion has intensity, the person’s position can be located on a scale
ranging from very negative to very positive. This range of intensity is the
measurement continuum.

5. What are the arguments for and against the inclusion of a neutral response position
in a symmetric scale?

Review question. Students will need to refer to the discussion of neutral positions on
symmetric scales.

Those arguing for the inclusion of a neutral option believe that some respondents do
not have opinions formed on that item, and they must be given the opportunity to
indicate their ambivalence. Proponents of not including a neutral position, however,
believe that respondents may use the neutral option as a dodge or a method of hiding
their opinions. Eliminating the neutral position forces these respondents to indicate
their opinions or feelings.

6. Distinguish among a Likert scale, a life-style scale, and a semantic differential scale.

Review question. This question requires students to distinguish these three


workhorse scales from one another.

With the modified Likert scale, respondents are asked to indicate their degree of
agreement or disagreement on a symmetric agree-disagree scale for each of a series of
statements. A special application of the modified Likert question form called the life-
style scale or inventory (or psychographics inventory) takes into account the values
and personality traits of people as reflected in their unique activities, interests, and
opinions (AIOs) toward their work, leisure time, and purchases. It also uses an agree-
disagree continuum format. The semantic differential scale contains a series of
bipolar adjectives for the various properties of the object under study, and
respondents indicate their impressions of each property by indicating locations along
its continuum. The focus of the semantic differential is on the measurement of the
meaning of an object, concept, or person.

7. What is the halo effect, and how does a researcher control for it?

Review question. Students are required to understand the halo effect discussed with
the description of a semantic differential scale.

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The halo effect is a general feeling about a store, brand, or whatever stimulus is being
measured with a semantic differential that can prejudice a respondent’s impressions
on its specific properties. Flipping the ends of the bipolar adjectives on the scale to
avoid having all negatives on one side and all positives on the other side is done to
control for the halo effect.

8. Provide questions that would measure each of the following constructs:

Review and application question. Students will need to provide a question that would
measure each construct.

Suggested questions follow each construct.

a. Brand loyalty
How many times out of x have you bought our brand?

b. Intentions to purchase
How likely are you, on a scale of very unlikely to very likely, to purchase this car
battery?

c. Importance of “value for the price”


How important, on a scale of very unimportant to very important, is the price of
this product in relation to your decision to purchase it?

d. Attitude toward a brand


How would you rate this product, on a scale of very poor to excellent?
Or, How do you feel this product, on a scale of dislike very much to like very
much?

e. Recall of an advertisement
Do you remember the advertisement of our product? (yes or no)

f. Past purchases
What brands of dishwasher soap have you purchased in the past year?

9. How does reliability differ from validity? In your answer, define each term.

Review question. Students must relate the definitions and show how these two
concepts differ.

Reliability is the consistency or the tendency in a respondent to respond in the same


or in a very similar manner to an identical or near-identical question. Validity is
defined as the accuracy of the measurement: it is an assessment of the exactness of
the measurement relative to what actually exists. It is possible to have reliability
without validity such as when a respondent lies repeatedly, but validity requires
reliability.

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10. What is a questionnaire, and what are the functions of a questionnaire?

Review question. Students will need to find the definition and list the six functions of
a questionnaire.

A questionnaire is a vehicle used to pose the questions that the researcher desires
respondents to answer. A questionnaire serves six key functions. (1) It translates the
research objective/s into specific questions that are asked of the respondents. (2) It
standardizes those questions and the response categories so every participant responds
to identical stimuli. (3) By its wording, question flow, and appearance, it fosters
cooperation and keeps respondents motivated throughout the interview. (4)
Questionnaires serve as permanent records of the research. (5) Depending upon the
type of questionnaire used, a questionnaire can speed up the process of data analysis.

11. What is meant by the statement that questionnaire design is a systematic process?

Review question. To answer this question, students will need to that there are
several considerations in questionnaire design.

Questionnaire design is a systematic process in which the researcher contemplates


various question formats, considers a number of factors characterizing the survey at
hand, ultimately words the various questions very carefully, and organizes the
questionnaire’s layout.
A questionnaire will ordinarily go through a series of drafts before it is in acceptable
final form. In fact, even before the first question is constructed, the researcher
mentally reviews alternative question formats to decide which ones are suited to the
survey’s respondents and circumstances. As the questionnaire begins to take form,
the researcher continually evaluates each question and its response options for face
validity. Changes are made, and the question’s wording is re-evaluated to make sure
that it is asking what the researcher intends. Also, the researcher strives to minimize
question bias, defined as the ability of a question’s wording or format to influence
respondents’ answers.

12. What are the four guidelines or “dos” for question wording?

Review question. Students should repeat the four guidelines.


• The Question Should Be Focused on a Single Issue or Topic
• The Question Should Be Brief
• Question Should Use Simple Structure
• The Question Should Be Crystal Clear

13. What are the four “don’ts” for question wording. Describe each.

Review question. Students will find and describe each do not.

Copyright © 2014 Pearson Education, Inc. 114


The Question Should Not “Lead” the Respondent to a Particular Answer. A leading
question is worded or structured in such a way as to give the respondent a strong cue
or expectation as how to answer.

The Question Should Not Have “Loaded” Wording or Phrasing. A loaded question
has buried in its wording elements that make reference to universal beliefs or rules of
behavior.

The Question Should Not Be “Double-Barreled.” A double-barreled question is really


two different questions posed in one question.

The Question Should Not Use Words That Overstate the Condition. An overstated
question is one that places undue emphasizes on some aspect of the topic. It uses
what might be considered “dramatics” to describe the topic.

14. What is the purpose of a questionnaire introduction, and what things should it
accomplish?

Review question.

The functions are:


• Identifies the surveyor/sponsor.
• Indicates the purpose of the survey.
• Explains how the respondent was selected.
• Requests for/provides incentive for participation.
• Determines if respondent is suitable.

15. Indicate the functions of (a) screening questions, (b) warm-ups, (c) transitions, (d)
“skip” questions, and (e) classification questions.

Review question. This question requires students to relate each type of question’s
purpose.

The functions are listed below each type of question.

a. Screening questions

Screening questions will determine whether or not the potential respondent


qualifies to participate in the survey based on certain selection criteria that the
researcher has deemed essential.

b. Warm-ups

Warm-ups are simple and easy-to-answer questions that may pertain to the
research objectives. These questions really perform the task of heightening the

Copyright © 2014 Pearson Education, Inc. 115


respondent’s interest while making the person feel that the questions can be
answered easily and quickly.

c. Transitions

Transition questions follow the warm-ups and serve to move the respondent
further along in the responding process. They relate specifically to the research
objectives on a more detailed level than do warm-ups.

d. “Skip” questions

Skip questions direct the interviewer or respondent to jump to or skip over the
following question(s) based on the answer to the present question. For example,
if the response is “no,” it may not make sense to ask the next question(s) which
pertain only to those who answer “yes.”

e. Classification questions

The last section of a questionnaire is reserved for classification questions.


Demographic items are normally placed here. This placement is industry
tradition, and it embodies the strategy of placing questions with break-off
potential at the end of the interview.

16. What is coding and why is it used? Relate the special coding need with “all that
apply” questions.

Review question. This question requires students to show knowledge of the coding
process.

Coding questions is the use of numbers associated with the question responses to
facilitate data entry during data collection and data analysis after the survey has been
conducted. With “all that apply” questions, the standard approach is to have each
response category option coded with a 0 or a 1. The designation “0” will be used if
the category is not checked, whereas a “1” is used if it is checked by a respondent.

17. Mike, the owner of Mike’s Market, which is a convenience store, is concerned about
low sales. He reads in a marketing textbook that the image of a store often has an
impact on its ability to attract its target market. He contacts the All-Right Research
Company and commissions it to conduct a study that will shape his store’s image.
You are charged with the responsibility of developing the store image part of the
questionnaire.

Design a semantic differential scale that will measure the relevant aspects
of Mike’s Market’s image. In your work on this scale, you must do the following: (a)
brainstorm the properties to be measured, (b) determine the appropriate bipolar

Copyright © 2014 Pearson Education, Inc. 116


adjectives, (c) decide on the number of scale points, and (d) indicate how the scale
controls for the halo effect.

Application question. Students must design a semantic differential scale for a


convenience store.

Properties to be measured. A sample list is: (1) prices, (2) location, (3) variety of
merchandise, (4) friendliness, and (5) value. Students may come up with others
properties.

The semantic differential scale is provided below. A 5-point scale is used, but
students may use 7 points. The midpoint stands for neutral or no opinion. Note that
“merchandise variety” is flipped to obviate the halo effect.

Rate Mike’s Market…

High prices ____ ____ ____ ____ ____ Low Prices

Inconvenient location ____ ____ ____ ____ ____ Convenient location

Much merchandise variety ____ ____ ____ ____ ____ Little merchandise variety

Unfriendly salespeople ____ ____ ____ ____ ____ Friendly salespeople

Poor value for the price ____ ____ ____ ____ ____ Good value for the price

18. Each of the following examples listed below involves a market researcher’s need to
measure some construct. Devise an appropriate scale for each one. Defend the scale
in terms of its scaling assumptions, number of response categories, use or nonuse of a
“no opinion” or neutral response category, and face validity.

Application question. Students will need to identify the appropriate scale and
rationale in each case.

The answer follows each case.

a. Matel wants to know how preschool children react to a sing-along video game
where the child must sing along with an animated character and guess the next
word in the song at various points in the video.

A graphic rating scale with smiley faces would apply here although preschool
children cannot read, nor can they relate to an abstract concept such as a scale. Use a
small number of categories (say three) even though preschoolers think concretely, and
don’t use a neutral category because it is very likely the children will form an
opinion. Having one or two children tell the researcher the difference between the
faces can assess face validity.

Copyright © 2014 Pearson Education, Inc. 117


b. TCBY is testing five new flavors of yogurt and wants to know how its customers
rate each one on sweetness, flavor strength, and richness of taste.

TCBY needs evaluations on three subjective properties based on taste tests of each
yogurt flavor. Considerations include the following. There is no need for a
symmetric scale as it is very unlikely that the flavors would be sour, weak, or not
rich. It is also doubtful that tasters will have a “no opinion” reaction to the flavors.
Also, how much can a person discriminate in reporting a taste? Not much, so the
scale should be no more than five gradations with labels because people do not judge
flavors with numbers.

Here is an example of the sweetness scale.

Not Somewhat Very


Sweet Sweet Sweet Sweet

The face validity of this scale is obvious.

c. A pharmaceutical company wants to find out how much a new Federal law
eliminating dispensing of free sample prescription drugs by doctors will affect
their intentions to prescribe generic versus branded drugs for their patients.

This is an instance of measuring intentions so a 0% to 100% intentions scale (see


Table 8.5) will fit. Eleven categories (0%, 10%, etc.) can be used as doctors can be
expected to understand likelihoods of acting. Face validity is apparent as the scale
communicates a “chances of doing” rating.

The modified Likert scale is also acceptable, as for example,

Statement (Insert Disagree-Agree labels here.)


I will prescribe generic drugs. 1 2 3 4 5

A no opinion is appropriate because doctors may not have decided on what they will
do yet. Face validity of the statement is apparent.

19. Harley-Davidson is the largest American motorcycle manufacturer, and it has been in
business for several decades. Harley-Davidson has expanded into “signature”
products such as shirts that prominently display the Harley-Davidson logo. Some
people have a negative image of Harley-Davidson because it was the motorcycle
favored by the Hell’s Angels and other motorcycle gangs. There are two research
questions here. First, do consumers have a negative feeling toward Harley-Davidson,
and, second, are they disinclined toward the purchase of Harley-Davidson signature
products such as shirts, belts, boots, jackets, sweatshirts, lighters, and key chains?

Copyright © 2014 Pearson Education, Inc. 118


Design a Likert measurement scale that can be used in a nationwide telephone study
to address these two issues.

Application question. This question requires students to design a Likert scale.

The task here is for students to design a modified Likert scale amenable to telephone
interview administration. The exercise is intended for students to realize the
requirements of “describing” the scale to respondents over the telephone. Table 8.3
has an example that can be adapted to this exercise.

Here is one approach.

(INTERVIEWER: READ) I have a list of statements that I will read to you. As I


read each one, please indicate whether you agree or disagree with it.

Are the instructions clear? (IF NOT, REPEAT)

INTERVIEWER: READ EACH STATEMENT. WITH EACH RESPONSE,


ASK, “Would you say that you STRONGLY (dis)agree or SOMEWHAT
(dis)agree?

RESPONSE (CIRCLE)
SOME- SOME-
STRONGLY WHAT WHAT STRONGLY
STATEMENT AGREE AGREE NEUTRAL DISAGREE DISAGREE
__________________________________________________________________
a. (Statement goes here.) 1 2 3 4 5

A different approach is to read off all the response alternatives to the respondent.
It would look something like this:

INTERVIEWER, READ. “I have some statements that I will read to you. With
each one, please tell me if you strongly agree, agree, disagree, strongly disagree,
or you may neither agree nor disagree. Are these instructions clear?” (IF NOT,
REPEAT.)

20. Listed here are five different aspects of a questionnaire to be designed for the crafts
guild of Maui, Hawaii. It is to be administered by personal interviewers who will
intercept tourists as they are waiting at the Maui Airport in the seating areas of their
departing flight gates. Indicate a logical question flow on the questionnaire using the
guidelines in Table 8.3.
a. Determine how they selected Maui as a destination.
b. Discover what places they visited in Maui and how much they liked each one.
c. Describe what crafts they purchased, where they purchased them, when they
bought them, how much they paid, who made the selection, and why they bought
those particular items.
d. Specify how long they stayed and where they stayed while on Maui.

Copyright © 2014 Pearson Education, Inc. 119


e. Provide a demographic profile of each tourist interviewed.

Application question. This question requires students to apply the concepts of


questionnaire organization.

Each item implies a different amount of effort on the part of the respondent, so to
apply the work approach would require placing the “work” questions in the body of
the questionnaire. Here is a logical flow for the work approach.

Question Topic Rationale for Placement


How long and where stayed Easy to answer, warm-up

How they selected Maui Easy to answer, warm-up

What places they visited More difficult, some work involved

Crafts questions Most difficult, placed near end of


questionnaire

Demographics Traditional to place at the end

For the sections approach, the first warm-up (how long and where stayed) and
demographics should be at the beginning and end, respectively, while the other items
would stand as sections in the middle.

21. Using the Internet, find a downloadable trial version of a computer-assisted


questionnaire design program such as Qualtrics and become familiar with it. With
each of the following possible features of computer-assisted questionnaire design
programs, briefly relate the specifics on how the program you have chosen provides
the feature.
a. Question type options
b. Question library
c. Font and appearance
d. Web uploading (sometimes called “publishing”)
e. Analysis, including graphics
f. Download file format options

Application question. Students must find companies that market questionnaire design
software, download examination copies or otherwise learn about how the program
works and report on each of the six functions.

22. Panther Martin invents and markets various types of fishing lures. In an effort to
survey the reactions of potential buyers, it hires a research company to intercept
fishermen at boat launches, secure their cooperation to use a Panther Martin lure
under development sometime during their fishing trip that day, meet them when they
return, and verbally administer questions to them. As an incentive, each respondent

Copyright © 2014 Pearson Education, Inc. 120


will receive three lures to try that day, and five more will be given to each fisherman
who answers the questions at the end of the fishing trip.
What opening comments should be verbalized when approaching fishermen who
are launching their boats? Draft a script to be used when asking these fishermen to
take part in the survey.

Application question.

Function Example
Identifies the “Hello, my name is ___, and I am marketing researcher
surveyor/sponsor. working for Panther Martin, the fishing lure manufacturer.

Indicates the purpose of “We are conducting a “product placement” survey with a
the survey. new fishing lure that we would like you to try today, if you
are willing.
Explains how the “You boat was picked a random number applied to the
respondent was selected. number of fishing boats launched here today.
Requests for/provides I would like to give you samples of the new lure for you to
incentive for participation. try today and report your experiences when you return here.
As an incentive, I will give each of you three lures to try,
and when you return, I will give you five more free lures.

Determines if respondent is “You are going fishing today, aren’t you?”


suitable.

CASE SOLUTIONS

Case 8.1 Extreme Exposure Rock Climbing Center Faces the Krag

Case Objective

This case requires students to identify constructs in research objectives and to create
measurement scales for these constructs.

Answers to Case Questions

1. What is the demographic and rock climbing profile of Extreme Exposure's members?

Construct(s): demographic characteristics of consumers and rock-climbing behavior.

For the demographics, students should apply the commonly used ones such as: age,
education, marital status, income before taxes, dwelling type, and so on.

For rock-climbing behavior, students will need to refer to the four rock-climbing
types: top-roping, lead-climbing, bouldering, and rappelling. This construct can be
measured simply by a nominal scale (What is your favorite type of rock-climbing?) or

Copyright © 2014 Pearson Education, Inc. 121


more sensitively with a ratio scale (Indicate for each of the four types of rock
climbing what percent of the time you engage in that type.)

2. How satisfied are the members with Extreme Exposure's climbing facilities?

Construct: Satisfaction. Satisfaction is one of the constructs described in Table 8.2.

Although Extreme Exposure has several aspects, satisfaction must be measured for
each aspect. Here is an example scale based on the recommendation in Table 8.2.

Indicate for each feature of Extreme Exposure, how satisfied you are with its
performance by circling the appropriate number.

Feature Not at all Slightly Somewhat Very Completely


Satisfied Satisfied Satisfied Satisfied Satisfied
Location 1 2 3 4 5
Hours of operation 1 2 3 4 5
Prices 1 2 3 4 5
Vertical climbs 1 2 3 4 5
Number of climbing routes 1 2 3 4 5
Difficulty of climbing 1 2 3 4 5
routes
And so on (other) 1 2 3 4 5

3. How interested are its members in (a) day trips to outdoor rock climbing areas, (b)
group overnight and/or extended-stay rock climbing trips to the Canadian Rockies, and
(c) a rock climber certification program?

Construct: Interest level

Interest can be measured on an interest continuum. The following example is a


labeled scale, but students can use a synthetic number scale such as 1=Uninterested,
5=Very interested.

How interested are you in each of the following rock climbing activities. Circle the
number corresponding to your interest level for each one.

Feature No Little Some Moderate Much


interest interest interest interest interest
Day trips to outdoor rock 1 2 3 4 5
climbing areas
Group overnight and/or extended- 1 2 3 4 5
stay rock climbing trips to the
Canadian Rockies
A rock climber certification 1 2 3 4 5

Copyright © 2014 Pearson Education, Inc. 122


program

4. What are members' opinions of the annual membership fee charged by Extreme
Exposure?

Construct: attitude toward price; opinion of the price

A modified Likert scale would work well here.

Statement Strongly Disagree Neither Agree Strongly


disagree disagree agree
nor agree
The annual membership fee for 1 2 3 4 5
Extreme Exposure is reasonable.

5. Will members consider leaving Extreme Exposure to join a new rock-climbing center
with climbs that are 10 feet higher than the maximum climb at Extreme Exposure?

Construct: intentions to purchase

Intentions to purchase is one of the constructs in Table 8.7, so students can use this
recommendation.

If another rock climbing center opens in Sacramento with climbs that are 10 feet
higher than the highest one at Extreme Exposure, how likely are you to consider
joining the new center?

___ Very Unlikely


___ Somewhat Unlikely
___ Neither Unlikely nor Likely
___ Somewhat Likely
___ Very Likely

6. Will members consider leaving Extreme Exposure to join a new rock climbing center
with climbs and a lower annual membership fee?

Construct: Intentions to purchase

The question could immediately follow the one about 10 feet higher walls.

If you found that this new center with climbs 10 feet higher than the highest one at
Extreme Exposure charged an annual fee 20% lower than Extreme Exposure’s annual
fee, how likely are you to consider joining the new center?

__ Very Unlikely
___ Somewhat Unlikely

Copyright © 2014 Pearson Education, Inc. 123


___ Neither Unlikely nor Likely
___ Somewhat Likely
___ Very Likely

Case 8.2 Integrated Case: Global Motors

Case Objective

Students must design a questionnaire that addresses the objectives of the integrated case.

Answers to Case Questions

Go over the needed integrated case facts and information imparted to you in previous
chapters and design an online survey questionnaire for Advanced Automotive Concepts.

There are a great many ways that the questionnaire can be designed; however, the
important features are:
• Qualifying question
• Warm-up questions that are related to research objectives
• Transitions
• Use of interval scales wherever possible and appropriate
• Use of sections approach to keep related topics together
• Demographics at the end

Following is a sample questionnaire developed for Advanced Automobile Concepts


integrated case. This set of questions and scales is, in fact, is the one that was used for
the integrated case SPSS data set that will be referred to in the analysis chapters and that
students will use for Advanced Automobile Concepts case questions at the end of the
analysis chapters. Note: alert students may catch the comment in an earlier integrated
case that the online panel company being used has a database of demographic,
possessions, media usage, and other variable on every panel member. So, these questions
may not appear on their questionnaires.

This survey is being conducted for an automobile manufacturer seeking to develop new
models of automobiles using synthetic or alternative fuel sources. It studies your
opinions about global warming and gasoline usage as well as your reactions to some
possible new automobile models.

To begin, tell us a little about yourself.

1. What is your favorite television show type? (Select only one.)


Comedy Drama Movies/Mini-Series
News/Documentary Reality Science-Fiction Sports

2. What is your favorite radio genre? (Select only one.)

Copyright © 2014 Pearson Education, Inc. 124


Classic Pop & Rock Country Easy listening
Jazz & Blues Pop & Chart Talk

3. What is your favorite magazine type? (Select only one.)


Business & Money Music & Entertainment Family & Parenting
Sports & Outdoors Home & Garden Cooking-Food & Wine
Trucks-Cars & Motorcycles News-Politics & Current Events

4. What is your favorite local newspaper section? (Select only one.)


Editorial Business Local news National news
Sports Entertainment

Next, how do you feel about global warming, gasoline usage, and gasoline prices?

Indicate your degree of agreement or disagreement to each of the following statements.


(Note: the scale for each questions is Very strongly disagree, Strongly disagree, Disagree,
Neither disagree nor agree, Agree, Strongly Agree, Very strongly agree.)

1. I am worried about global warming.


2. Global warming is a real threat.
3. We need to do something to slow global warming.
4. Gasoline emissions contribute to global warming.
5. Americans use too much gasoline.
6. We should be looking for gasoline substitutes.
7. Gasoline prices will remain high in the future.
8. Gasoline prices are too high now.
9. High gasoline prices will impact what type of autos are purchased.
10. Very small autos with very high mpg's will reduce fuel emissions.
11. Very small autos with very high mpg's will keep gas prices stable.
12. Very small autos with very high mpg's will slow down global warming.
13. Small autos with high mpg's will reduce fuel emissions.
14. Small autos with high mpg's will keep gas prices stable.
15. Small autos with high mpg's will slow down global warming.
16. Hybrid autos that use alternative fuels will reduce fuel emissions.
17. Hybrid autos that use alternative fuels will keep gas prices down.
18. Hybrid autos that use alternative fuels will slow down global warming.

Now, indicate on a scale of 0% to 100%, the probability of you making each of the
following automobile purchases in the next three years.
1. Probability of buying a very small (1 seat) hybrid auto
2. Probability of buying a small (2 seat) hybrid auto
3. Probability of buying a standard size hybrid auto
4. Probability of buying a standard size synthetic fuel auto
5. Probability of buying a standard size electric auto

Copyright © 2014 Pearson Education, Inc. 125


How do you feel about some possible new types of hybrid automobiles?
Indicate the how desirable each of the following hybrid automobile models is to you,
personally. Use this scale: Very undesirable, Undesirable, Somewhat desirable, Neutral,
Somewhat desirable, Desirable, Very desirable

1. Super cycle 1 seater; 120+ mpg city


2. Runabout Sport 2 seater; 90 mpg city, 80 mpg highway
3. Runabout with Luggage 2 seater; 80 mpg city, 70 mpg highway
4. Economy 4 seater; 70 mpg city; 60 mpg highway
5. Standard 4 seater; 60 mpg city; 50 mpg highway

Below are descriptions of various types of people. For each description, indicate on a
scale where 1 = does not describe me at all and 7= describes me perfectly how well it
describes you.
1. Novelist – very early adopter, risk taker, “way out,” “show off,” want to be unique
and extraordinary
2. Innovator – early adopter, less risk taker than novelist, but into new technology; likes
new products, but not “show offs”
3. Trendsetter – opinion leaders, well off financially and educationally, often the first
adopters of new trends that are adopted by most of society.
4. Forerunner – early majority of population, respected and fairly well off; not opinion
leaders, but adopt new products before the “average” person
5. Mainstreamer – late majority of population, “average people,” who are reserved and
deliberate
6. Classic – laggards who cling to “old” ways

Finally, the following questions will be used for classification purposes.

1. What is the size of your home town or city?


1 million and more 500,000 to 1 million 100,000 to 500,000
10,000 to 100,000 Under 10,000

2. What is your gender?


Male Female

3. What is your marital status?


Unmarried Married

4. What is the number of people in household? ___

5. What is your age category?


Less than 18 18 to 24 25 to 34 35 to 49
50 to 64 65 and older No response

6. What is your highest level of education?


Less than High School High School diploma Some college

Copyright © 2014 Pearson Education, Inc. 126


College Degree Post graduate degree

7. Which of the follow job category best describes you?


Management Sales Service Agriculture Craft General labor Retired

8. What is your household income level?


Under $25,000 $25,000 to 49,000 $50,000 to 74,000
75,000 to 125,000 $125,000 and more

9. What is your primary dwelling type?


Single family Multiple family Condominium/Townhouse Mobile home

10. What is your primary vehicle price type?


No vehicle Economy Standard Luxury

11. What is your primary vehicle type?


No vehicle Car Pick-up truck SUV or van

12. Which of the following best your typical type of commuting to work?
Single occupancy Multiple occupancy Public transportation
Non-motorized Telecommute

Thank you for participating in this survey.

Copyright © 2014 Pearson Education, Inc. 127


Another random document with
no related content on Scribd:
more advanced in civilisation than the former. By this enactment, a
Koblegian or a Varangian was compelled to take an oath where such
a test was required, but a Slavonian was exempted. It would
therefore appear, if the conclusion may be safely ventured upon, that
judicial combats, which formed the final appeal when a defendant in
a cause acquitted himself in the first instance by a solemn oath, were
not adopted amongst the Slavs, who were satisfied with a public
examination of facts, and an adjudication, without the sacred or the
physical test. It is sufficient, however, for the great uses of historical
inquiry, to know that a difference so remarkable between two
branches of the people was recognised and confirmed by law.
One of the most important declarations of the code was that which
divided the population into three classes—the nobles, the freemen,
and the slaves. Of these three, the slaves alone were left
unprotected. The freemen, who were fenced in from the
encroachments of the nobles, were composed of the citizens, the
farmers, the landholders, and hired servants. They were sub-
classified into centuries, each of which elected a head, who filled an
office equivalent to that of a tribune. The civil magistracy, thus
created, had a separate guard of their own, and were placed, in
virtue of their office, on an equality with the boyars. The city of
Novgorod, which maintained, under a nominal princedom, the spirit
of a republic, exhibited these municipal franchises in a more
complete form than any of the Russian cities; all of which, however,
possessed similar privileges, more or less modified according to their
relative importance, or the circumstances under which their charters
were granted. The chief of the Novgorodian republic was a prince of
the blood; the title of his office was that of Namestnick. He took no
share in the deliberations of the people, nor does it appear that he
even possessed a veto upon their decisions. His oath of instalment
bound him as the slave rather than the governor of the city; for it
pledged him to govern agreeably to the constitution as he found it; to
appoint none but Novgorodian magistrates in the provinces, and
even these to be previously approved of by the Posadnick or mayor;
to respect strictly the exclusive rights possessed by the citizens
sitting in judgment on their own order, of imposing their own taxes,
and of carrying on commerce at their own discretion; to interdict his
boyars from acquiring landed property within the villages dependent
on Novgorod, and to oblige them to travel at their private cost; to
discourage immigration; and never to cause a Novgorodian to be
arrested for debt. A princedom, accepted on such restrictive
conditions, was but the shadow of a sceptre, as the municipal union
of the legislative and judicial abundantly proved. The first officer was
the Posadnick, or mayor, chosen by election for a limited time; the
next was the Tisiatski, or tribune, who was a popular check upon the
prince and mayor; and the rest of the functionaries consisted of the
senate, the city assembly, and the boyars, all of whom were elective.
By the electoral system, the people preserved a constant guard over
the fidelity of their representatives in the senate, and their officers of
justice; so that, while the three grades propounded by law were kept
widely apart, and socially distinguished, the prerogatives of each
were rigidly protected against innovation from the other two. All that
this little republic required to render its security perfect, was liberty. It
was based upon a system of slavery, and sustained its dominion
more by fear than righteousness. Nor was it independent of control,
although all its domestic concerns were uninterruptedly transacted
within its own confines. It was an appanage of the grand princedom;
but on account of its fortunate geographical position on the northern
and northwestern frontiers, which were distant from the capital—a
circumstance that delegated to Novgorod the defence of those
remote boundaries—it acquired a degree of political importance that
preserved it for four centuries against the cupidity of the succession
of despots that occupied the throne. The removal of the seat of
empire from Kiev to Vladimir, and finally to Moscow, by drawing the
centre nearer to Novgorod, diminished its power by degrees, and
finally absorbed it altogether.
One of the enactments of the code of Iaroslav will show what
advances had been made towards the segregation of the people into
different orders, and how much the government partook, or was
likely to partake, of a mixed form, in which a monarchical, an
hereditary, and a representative estate were combined. It made the
prince the heir-at-law of every freeman who died without male issue,
with the exception of the boyars and officers of the royal guard. By
this regulation the prerogative of the crown was rendered
paramount, while the hereditary rights of property were preserved
unconditionally to the families of the nobles alone. A class of rich
patricians was thus formed and protected, to represent, by virtue of
birth, the interests of property; while commerce and popular
privileges were fully represented in the assembly of the elected
senators. The checks and balances of this system were pretty equal;
so that, if the constitution of which these outlines were the elements,
had been allowed to accumulate strength and to become
consolidated by time, it would at last have resolved itself into a liberal
and powerful form; the semi-savage usages with which it was
encrusted would have dropped away, and wiser institutions have
grown up in their stead.
So clearly were the popular benefits of the laws defined, that the
code regulated the maximum demand which the proprietor of the soil
might exact from his tenant; and it neither enforced taxation, nor
recognised corporal punishment, nor in the composition of a
pecuniary mulct admitted any distinction between the Varangians
and the Slavs, who formed the aristocracy and the democracy. The
prince neither possessed revenue nor levied taxes. He subsisted on
the fines he imposed for infractions of law, on the tributes he
received from his estates, on the voluntary offerings of the people,
and the produce of such property as had fallen to the private title of
the sovereignty. Even the tribute was not compulsory; it was rather a
right derived from prescription. The only dependence of the lords of
fiefs was in that they were compelled to render military service when
required to the grand prince; and it was expected that they should
come numerously attended, well armed, and provisioned. The tribute
was the mark of conquest, and was not considered to imply taxation.
But while the monarchical principle was thus kept within
proscribed limits, the power of the democracy was not sufficiently
curbed: over both there was a check, but the hands of the prince
were bound too tightly. His dominion was despotic, because he was
surrounded by men devoted to his will; but the dominion of the
people was boundless, because opinion was only in its rickety
infancy, and the resistance to the offending prince lay in the
demonstration of physical superiority instead of moral combination.
They never hesitated to avail themselves of their numerical
advantage. They even carried it to extravagance and licentiousness;
and so much did they exult in their strength, that they regulated the
hours at which the sovereign was permitted to enjoy relaxation,
punished the obnoxious heads of the church by summary ejectment,
and in several instances, taking the charter of law into their own
keeping, deposed their princes. The checks, therefore, established in
Iaroslav’s wise convention between the government and the
constituency were overborne by the rudeness of the times.
That the period had arrived when laws were necessary to the
settlement of the empire, was sufficiently testified by the
circumstances, external and domestic, in which the people were
placed. The adoption of Christianity had partially appeased the old
passion for aggression against Constantinople, which, having now
become the metropolis of their religion, was regarded with some
degree of veneration by the Russians. A war of plundering
Byzantium, therefore, could not be entertained with any prospect of
success. The extension of the empire under Vladimir left little to be
coveted beyond the frontiers, which spread to the east, north and
south as far as even the wild grasp of the lawless tribes of the
forests could embrace. To the west, the Russians had ceased to look
for prey, since Boleslav, by his easy conquest of Kiev, had
demonstrated the strength of Poland. Having acquired as much as
they could, and having next, in the absence of warlike expeditions
abroad, occupied themselves with ruthless feuds at home, they
came at length to consider the necessity of consulting the security of
possessions acquired at so much cost, and so often risked by civil
broils. This was the time for a code of laws. But unfortunately there
still existed too many remains of the barbarian era, to render the
introduction of legal restraints a matter easy of accomplishment. The
jealousy of Greek superiority survived the admission of the Greek
religion. The longing after power still inspired the petty chiefs; and
hopeless dreams of larger dominion wherewith to bribe the
discontented, and provide for the hirelings of the state, still troubled
the repose of the sovereign. The throne stood in a plain surrounded
by forests, from whence issued, as the rage propelled them, hordes
of newly reclaimed savages, pressing extraordinary demands, or
threatening with ferocious violence the dawning institutions of
civilisation. In such a position, it was not only impossible to advance
steadily, but to maintain the ground already gained.

Iaroslav Dies (1054 A.D.)

Could the character of Iaroslav, the legislator,


[1054 a.d.] have been transmitted through his successors,
the good of which he laid the seeds, might have
been finally cultivated to maturity. But his wisdom and his virtues
died with him. Nor, elevated as he was in moral dignity above the
spirit of his countrymen, can it be said that he was free from
weaknesses that marred much of the utility of his best measures.
One of his earliest errors was the resignation of Novgorod to his son
Vladimir, who had no sooner ascended the throne of the republican
city, than, under the pretext of seeking satisfaction for the death of a
Russian who had been killed in Greece, he carried arms into the
Byzantine empire. The folly of this wild attempt was abundantly
punished in the sequel; fifteen thousand men were sacrificed on the
Grecian plains, and their chief hunted back disgracefully to his own
territories. Yet this issue of one family grant did not awaken Iaroslav
to the danger of partitioning the empire. Before his death he divided
the whole of Russia amongst his sons, making, however, the
younger sons subordinate to the eldest, as grand prince of Kiev, and
empowering the latter to reduce the others to obedience by force of
arms whenever they exhibited a disposition to dispute his authority.
This settlement, enforced with parting admonitions on his death-
bed, was considered by Iaroslav to present a sufficient security
against civil commotion and disputes about the succession. But he
did not calculate upon the ungovernable lust for power, the jealousy
of younger brothers, and the passion for aggrandisement. His
injunctions were uttered in the amiable confidence of Christianity;
they were violated with the indecent impetuosity of the barbarian
nature.
With the death of Iaroslav, and the division of the empire, a new
period of darkness and misrule began. The character of the
legislator, which influenced his own time, was speedily absorbed in
the general confusion. Iaroslav’s name was held in reverence, but
the memory of his excellence did not awe the multitudes that, upon
his decease, sprang from their retirement to revive the disastrous
glories of domestic warfare. Much as he had done for the extension
of Christianity, he had failed in establishing it in the hearts of the
people. He was an able theologian, and well acquainted with the
church ordinances, agenda, and other books of the Greek religion,
many of which he caused to be translated into the Russian
language, and distributed in copies over the country. So strong an
interest did he take in the cultivation of the doctrines of the church,
that he established a metropolitan at Kiev, in order to relieve the
Russian people and their priests from the inconveniences of
attending the residence of the ecclesiastical head at Constantinople,
and also with a desire to provide for the more prompt and certain
dissemination of the principles of faith. But the value of all these
exertions expired with their author. He did much to raise the fame
and consolidate the resources of the empire; but the last act of his
political career, by which he cut away the cord that bound the rods,
had the effect of neutralising all the benefits he meditated to
accomplish, as well as those that he actually effected, for his country.
His reign was followed by a period of savage anarchy that might be
said to have resolved the half-civilised world into its original
elements.k

FOOTNOTES

[2] According to recent computations the Russian Empire


covers an area of 8,660,000 square miles—about one sixth of the
land surface of the globe.
[3] [This treaty was not so favourable to the Russians as the
one concluded with Oleg—a result, evidently, of the former defeat.
Another point of importance is that it makes mention of Russian
Christians, to whom there is no allusion in the treaty of 911. From
this we may conclude that Christianity had spread largely during
this interval.g]
[4] [According to another Ms., Constantine, son of Lev.]
[5] Ex. XXI, 17.
[6] [In the original Nestor always calls thus the sister of the
emperors.]
[7] [An antiquarian inquiry instituted by Catherine in 1794
resulted in proving that Tmoutarakan was situated on the isle of
Taman, forming a key to the confluence of the sea of Azov with
the Black Sea.k]
[8] A copper coin, of the value, as near as we can ascertain, of
about 4½d. of English money.
CHAPTER II. THE PERIOD OF THE
PRINCIPALITIES
THE CHARACTER OF THE PRINCIPALITIES

The period extending from the year of


[1054-1224 a.d.] Iaroslav’s death (1054) to the year of the
appearance of the Tatars (1224) is one of the
most troublous and confused epochs in the history of Russia. As the
Scandinavian custom of partition continued to prevail over the
Byzantine idea of political unity, the national territory was constantly
divided.
The princely anarchy of oriental Europe finds a parallel in the
feudal anarchy of the Occident. Pogodine enumerates for this period
sixty-four principalities which enjoyed a more or less protracted
existence; two hundred and ninety-three princes who during these
two centuries contended over Kiev and other Russian domains;
eighty-three civil wars in which the entire country was concerned.
Foreign wars helped to augment the enormous mass of historical
facts. The chronicles mention against the Polovtsi alone eighteen
campaigns, while these barbarians invaded Christian territory forty-
six times.
The ancient names of the Slav tribes have entirely disappeared, or
are preserved only in the names of towns—as, for instance, that of
the Polotchanes in Polotsk; that of the Severians in Novgorod-
Seversk. The elements in the composition of Russia were thus rather
principalities than peoples. No more is said of the Krivitchi or of the
Drevlians; we hear only of Smolensk or of Volhinia. These little
states were dismembered at each new division among the children
of a prince; they were then reconstituted, to be again divided into
appanages. In spite of all these vicissitudes, however, some among
them had an uninterrupted existence due to certain topographical
and ethnographical conditions. Setting aside the distant principality
of Tmoutorakan, established almost at the foot of the Caucasus in
the midst of Turkish and Circassian tribes and counting eight
different princes, the following are, from the eleventh to the thirteenth
centuries, the principal divisions of Russia:
(1) The principality of Smolensk, which occupied the important
territory which is in a manner the central point of the orographic
system of Russia; it comprises the old forest of Okov, where the
three greatest rivers of Russia, the Volga, the Dnieper, and the
Dvina, have their rise. Hence the political importance of Smolensk,
which is attested by the many wars undertaken against her; hence
also her commercial prosperity. It is noticeable that all her towns
were built on some one of the three rivers; all the commerce of
ancient Russia thus passed through her bounds. Besides Smolensk
it is necessary to cite Mozhaisk, Viasma, and Toropets, the capital of
a secondary principality, the domain of two famous princes—Mstislav
the Brave and Mstislav the Bold.
(2) The principality of Kiev, which was Rus—Russia in the strict
sense of the term. Its situation on the Dnieper, the proximity of
Greece, the fertility of its Black Lands, long assured to this state the
supremacy over all other Russian principalities. To the south it was
bordered by the Nomad tribes of the steppe. Against the inroads of
these tribes the princes of Kiev were obliged to construct frontier
fortresses; though frequently they ceded them lands and took them
into their pay, constituting them into veritable military colonies. The
principality of Pereiaslavl was a dependency of Kiev; Vishgorod,
Bielgorod, Tripoli, and Torlshok were at different times constituted
into appanages for princes of the same family.
(3) The two principalities of
Tcheringov with Starodub and
Lubetz and of Novgorod-
Seversk with Putivl, Kursk and
Briansk, which extended along
the tributaries flowing into the
Dnieper from the left—the Soj
and the Desna swelled by the
Seim. Tcheringov, extending
towards the upper Oka, had thus
one foot in the basin of the
Volga; its princes, the Olgovitchi,
were the most redoubtable rivals
of those of Kiev. As for the
princes of Seversk, they were
ceaselessly occupied with wars
against their dangerous rivals on
the south, the Polovtsi. It is the
exploits of a prince of Seversk
against these barbarians which
form the subject of a chanson de
geste—The Song of Igor.
Laplander
(4) The duplex principality of
Riazan and Murom, another
state whose existence was
maintained at the expense of ceaseless war against the nomads.
The principal towns were Riazan, Murom, Pereiaslavl-Riazanski, on
the Oka; Kolomna, at the junction of the Moskva with the Oka; and
Pronsk, on the Pronia. The upper Don bounded it on the west. This
principality was established in the midst of Finnish tribes—the
Muromians and the Meshtseraks. The warlike character and the rude
and coarse habits attributed to the people of the principality
doubtless resulted not less from the assimilation of the aborigines by
the Russian race than from the continuous brutal strife of the
inhabitants with the nomads.
(5) The principalities of Suzdal—with their metropolitan towns of
Tver, Suzdal, Rostov, Iuriev-Polski, and Vladimir on the Kliasma; of
Iaroslavl and Pereiaslavl-Zaliesski—which were established on the
Volga and the Oka, in the densest of the northern forests,
surrounded by Finnish tribes—Mouromians, Merians, Vesses, and
Tcherimisses. Though situated at the extreme limit of the Russian
world, these principalities nevertheless exercised great influence
over it. We shall see their princes now reducing Novgorod and the
Russia of the lakes to a certain political dependence, the
consequence of a double economical dependence; then victoriously
intervening in the quarrels of the Russia of the Dnieper. The
Suzdalians were of the same character as the Riazanians—rude and
warlike. The characteristics of a new nationality were already
noticeable among these two peoples. That which differentiated them
from the Kievans and the Novgorod-Severskans, who, like
themselves, were occupied in the great struggle against the
barbarians, was that the Russians of the Dnieper, sometimes
mingling their blood with that of their enemies, became fused with
Turkish tribes, nomadic and essentially mobile, while the Russians of
the Oka and the Volga united with Finnish tribes, agricultural and
essentially sedentary. This difference between the two foreign
elements which entered into the blood of the Slavs, without doubt
contributed to that marked difference in character between the two
branches of the Russian race. During the period from the eleventh to
the thirteenth centuries, as colonization advanced, from the basin of
the Dnieper to the basin of the Volga, the divisions of Little Russia
and Great Russia were formed.
(6) The principalities of Kiev, Tchernigov, Novgorod-Seversk,
Riazan, Murom, and Suzdal, which formed the marches of Russia on
the borders of the steppe with its devastating hordes—constituting its
frontier states. On the confines of the northwest, opposite the
Lithuanians, the Letts and the Tchuds, the same rôle devolved on the
principality of Polotsk, occupying the basin of the Dvina, and on the
republican principalities of Novgorod and Pskov on the lakes of
Ilmen and Petpus. The principality of Minsk was attached to that of
Polotsk. It was situated in the basin of the Dnieper and, owing to that
circumstance, its possession was frequently disputed by the grand
princes of Kiev. The towns of Torzhok, Volok-Lamski, Izborsk, and
Veliki Luki belonged to Novgorod; at times they were the capitals of
individual states.
Southwestern Russia comprehended (1) in the fan-shaped
territory formed by the Pripet and its tributaries—Volhinia, with
Vladimir in Volhinia, Lutsk, Turov, Brest, and even Lublin, which is
unquestionably Polish; (2) in the basins of the San, the Dniester, and
the Pripet—Galicia proper, or Red Russia, whose ancient
inhabitants, the white Croats, seem to have originated in the
Danubian Slavs. Its principal towns were Galitch, founded by
Vladimirko about 1444; Peremishl; Terebovlia, and Svenigorodka.
The near neighbourhood of Hungary and Poland contributed to these
two principalities distinctive characteristics, as well as a more
advanced civilisation. In the epic songs Galicia, the land of the hero
Dvorik Stepanovitch, is a country of fabulous wealth. The Narrative
of the Expedition of Igor gives an exalted idea of the power of its
princes: “Iaroslav Osmomysl of Galicia,” cries the poet addressing
one of them, “high art thou seated upon thy golden throne! With thy
iron regiments thou guardest the Carpathian mountains, thou
shuttest the gates of the Danube, thou barrest the way to the king of
Hungary; at will thou openest the gates of Kiev, and thine arrows
reach far into the distance.”

THE UNITY OF THE PRINCIPALITIES

The disposition of these fifteen or sixteen principalities confirms


what has been previously stated concerning the essential unity of the
configuration of the Russian soil. None of the river-basins forms a
closed or isolated region; no line of heights establishes between
them barriers or political frontiers. The greater number of the
Russian principalities belonged to the basin of the Dnieper, but
pushed their limits everywhere beyond. Kiev, with Pereiaslavl, is the
only one strictly confined within it; but Volhinia puts the basin of the
Dnieper in communication with those of the Bug in the south and of
the Vistula; Polotsk connects it with the basins of the Niemen and
the Dvina, Novgorod-Seversk with that of the Don, Tchernigov and
Smolensk with that of the Volga. Between these principalities, water-
courses everywhere establish communications. Russia, though
divided into appanages, was already making toward a great united
empire. The lack of cohesion among nearly all the states and their
frequent dismemberments prevented their becoming actual
nationalities. The principalities of Smolensk, of Tchernigov, of Riazan
never possessed that definite historical existence so characteristic of
the duchy of Brittany or the county of Toulouse in France, the
duchies of Saxony, Swabia, or Bavaria in Germany.
The interests of the princes and their ambition to provide an
appanage for each of their children, necessitated at the death of
every sovereign a fresh distribution of Russian territory. Yet a certain
cohesion was evident in the midst of these vicissitudes. There was
visible a unity of race and language, the more marked,
notwithstanding differences of dialect, in that the Russian Slavs,
excepting in the southwest, were surrounded everywhere by entirely
dissimilar peoples—Lithuanians, Tchuds, Finns, Turks, and Magyars.
There was also unity of religion; the Russians were differentiated
from nearly all their neighbours in that, in contradistinction to the
Slavs of the west, the Poles, Czechs, and Moravians, they
represented a distinct form of Christianity, acknowledging no tie with
Rome and rejecting Latin as the church language.
There was also a unity of historical development, since hitherto the
Russian Slavs had all followed the same destiny, had equally
accepted Greek civilisation, submitted to Varangian conquest, and
pursued in common certain great enterprises, such as the
expeditions against Byzantium and the wars with the nomads. There
was finally political unity, as among all—in Galicia as in Novgorod, by
the Dnieper as in the forests of Suzdal—the same family sat upon all
the thrones. All the Russian princes were descended from Rurik,
from St. Vladimir, and from Iaroslav the Great. The civil wars which
desolated the country affirmed anew this unity. No state in Russia
could regard the rest as outsiders, when the princes of Tchernigov
and Suzdal were seen to take up arms solely to decide which among
them was the eldest—which held the right to the title of grand prince
and to the throne of Kiev. There were descendants of Rurik who
governed successively the most distant states in Russia, and who,
having reigned at Tmoutarakan on the straits of Ienikale, at
Novgorod the Great, at Toropetz in the country of Smolensk, finished
by obtaining recognition of their right to reign over Kiev.b

THE THEORY OF SUCCESSION

If the question be asked why


the Russian state continued
undivided throughout the two
hundred years of the Varangian
period, our answer is that it was
due solely to the fact that during
the greater part of this period the
grand princes left one son and
heir. Whenever the case was
otherwise, as after the death of
Sviatoslav and Vladimir, the
brothers straightway entered
upon a struggle for mastery that
did not terminate until all but one
were destroyed. That one then
became undisputed master, for
no one dared dispute the
possession of power with the
descendants of Rurik.
The theory of succession in
the Rurik family was as follows:
the grand prince of Kiev was
lord paramount of Russia. He
disposed of all vacant
A Koriak principalities, and was supreme
judge and general; but each of
his brothers had, according to his seniority, the right of succession to
the throne. The death of every elder brother brought the younger
ones a step nearer to that goal. The order of advance was from
Smolensk to Pereiaslavl, from Pereiaslavl to Tchernigov, from
Tchernigov to Kiev. But none could attain to the highest dignity, save
him whose father had held it before him. Sons of a father who had
died before reaching the goal were excluded from Kiev and were
confined to the possessions in their hands at the time of their father’s
death. The technical Russian term for those members of the Rurik
family who were excluded from the highest dignity was Isgoi, and the
attempts of the Isgoi to break through the law of exclusion have had
no small share in the bloody and desolate history of Russia during
the period upon which we now enter. But another factor contributed
to the same end. The power of the grand prince was not so
predominant as to enable him to enforce his will and put down
disobedience. His position was based on the idea of patriarchal
power, and was respected by the princes only when it was to their
advantage. To maintain himself he had to resort to the expedient of
making coalitions with some of the princes against the others, and
the sword was the final arbiter between the grand prince and his
nominal vassals.c Accordingly the whole of Russia was always
divided in its support of the claims of this or that candidate. The civil
wars which ensued were after all but family quarrels.a

CIVIL WARS

Iaroslav left five sons. To Iziaslav, the oldest,


[1055-1069 a.d.] he gave Kiev; to Sviatoslav, Tchernigov; to
Vsevolod, Pereiaslavl; to Viatcheslav,
Smolensk; and to Igor, Vladimir in Volhinia. The order in which they
are given here represents the order of their respective dignities and
their position in the line of succession. Two of the brothers did not
long survive their father. In 1056 Viatcheslav died, and Igor, in
accordance with the law of succession, moved to Smolensk, where
he too died in 1060.
About this time a new wave of migration set in from Asia towards
the south-Russian steppe—the Turkish tribe of the Polovtsi. In 1055
Vsevolod of Pereiaslavl concluded peace with them by bribing them
to retire into the steppe. In 1061 he suffered a defeat at their hands,
but they did not follow up their success and again retired into the
steppe. The civil wars, however, which soon broke out, were to bring
them back as an ever-menacing plague to the Russian population.
Among the minor princes, who
were excluded from the
succession, was Vseslav of
Polotsk, a descendant of St.
Vladimir. He had helped his
uncles in a war against the
Torks, a tribe kindred to the
Polovtsi, and expected a reward
in an accession of territory.
Being disappointed, he
determined to help himself. First
he ravaged the territory of
Pskov, but being unable to take
that city, he invaded the territory
of Novgorod, and it seems that Sviatoslav
for a while he was master of the
city. His bold procedure
compelled his uncles Iziaslav, Sviatoslav, and Vsevolod to unite
against him; but, though beaten by their superior forces, he could not
be expelled from the north. The uncles thereupon resorted to
treachery. They proposed to him a friendly meeting under a
guarantee of his personal security and liberty, which they confirmed
by an oath upon the cross. But when he had reached the vicinity of
Smolensk, beyond the Dnieper, he was surprised, captured, and
brought to Kiev, where he was imprisoned. At this juncture the
Polovtsi made another of their raids and defeated the united forces
of the brothers, so that Sviatoslav was obliged to take refuge at
Tchernigov, while Iziaslav and Vsevolod fled to Kiev. There they
intended to await the nomad hordes behind the walls of the cities,
sacrificing the open country to the invaders. But the citizens of Kiev
thought differently. At a stormy meeting of the vetché it was decided
to take up arms, and when Iziaslav refused to lead them against the
enemy they liberated Vseslav from his confinement and made him
their prince (1068). Iziaslav was obliged to flee to Poland, where he
found a champion in Boleslav the Bold. Menaced in front by the
Poles, and suspicious of his uncles in his rear, Vseslav thought
himself obliged to flee to Polotsk, leaving the Kievans to the
vengeance of Iziaslav (1069). The events of two generations
previous, when Boleslav the Brave captured Kiev for Sviatopolk,
were now to be repeated. The Poles demeaned themselves as
masters and committed many excesses. The Kievans bore it for a
year; then exasperated, fell upon the Poles, who were scattered in
their various quarters, and compelled Boleslav to evacuate the city.
After protracted fighting and negotiations, Polotsk was finally
restored to Vseslav, and the old order seemed re-established, when
the two brothers of Iziaslav became suspicious of his designs and
suddenly appeared before Kiev. Iziaslav now fled for the second
time, Sviatoslav became grand prince, while Vsevolod advanced to
the principality of Tchernigov.
Iziaslav left nothing unattempted to regain his
[1075-1078 a.d.] position. He had escaped with his treasure into
Poland, but Boleslav was unwilling to renew his
former adventure. The German king Henry IV, whom Iziaslav met at
Mainz in January, 1075, was more favourably disposed and sent an
embassy to Sviatoslav; but it accomplished nothing. Iziaslav also
entered into negotiations with pope Gregory VII, to whom he sent his
son Iaropolk. The pope hoped to be able to annex Russia to the
western church, and even went so far as to grant it to Iaropolk as a
fief from the holy see.
But meanwhile Sviatoslav died (1076) and Vsevolod, a man
whose mild character did not exclude the possibility of a peaceful
settlement, became grand prince. Boleslav now lent troops to
Iziaslav (1077), and though Vsevolod marched against him with an
army of his own, yet they soon came to terms. Iziaslav was to be
reinstated grand prince for the third time, while Vsevolod was to
retire to Tchernigov, in return for which he was secured in the
succession. Thus Iaropolk’s plans came to naught, and with them
the hope of a reunited church.
However, Vseslav of Polotsk did not yet give up his ambitious
designs. Foiled in his attempt on the throne of Kiev, he tried to create
an empire for himself in the Russian north, and it required three
campaigns of the south-Russian princes to annul his plans. It was
during these wars that Vladimir Monomakh, son of Vsevolod and
son-in-law of King Harold of England, first distinguished himself,
though not in a glorious manner. He was the first Russian prince to
engage in a domestic quarrel the Polovtsi, with whose aid he
ravaged the city and principality of Polotsk. Vseslav died in 1101 as
prince of Polotsk, and his memory lived long after him in the
traditions of the people, by whom he was regarded as a sorcerer.
The Song of Igor tells how he accomplished in one night a march
from Kiev to Tmoutorakan, and how he could hear at Kiev the ringing
of the church bells at Polotsk.
Russian dynastic conditions had now been restored to the legal
order, and there seemed nothing left to disturb the tranquillity. But
the cupidity of the grand prince soon brought on new dissensions
among the members of the house of Rurik. Viatcheslav and Igor died
at an early age, leaving minor sons whom their uncle refused to
provide with appanages. They therefore tried to gain their right by
force. Boris, a son of Viatcheslav, temporarily got hold of Tchernigov,
but being unable to maintain himself in that city he fled to
Tmoutorakan, the last refuge of all the discontented. There he was
soon joined by his brother Gleb, who was expelled by Iziaslav from
Novgorod, and by another brother from Volhinian Vladimir, both of
whose appanages were divided among the sons of Iziaslav and
Vsevolod. In the civil war which followed, the nephews at first had
the advantage and captured Tchernigov; but they were defeated in a
decisive battle fought near that city on the third of October, 1078.
Both the grand prince Iziaslav and Boris fell, and Oleg was obliged to
flee once more to Tmoutorakan.

Vsevolod
Iziaslav was succeeded by Vsevolod, whose
[1078-1093 a.d.] reign (1078-1093) was even more unfortunate
than his brother’s had been. He too favoured his
own sons and those of Iziaslav at the expense of his other nephews
and in consequence the sons of Sviatoslav and Igor and of his
nephew Rostislav waged against him unremitting warfare with the
aid of the Polovtsi and Chazars, who wasted the country. Vsevolod’s
attempt in 1084 to conquer Tmoutorakan, the breeding-place of
revolts, failed miserably. Finally even Iaropolk, the son of Iziaslav,
who had received so many favours from his uncle, revolted against
him and was assassinated during the war. In those days of turmoil
and confusion, even old Vseslav ventured forth once more from
Polotsk and plundered Smolensk. The grand prince was ill most of
the time at Kiev and the conduct of his affairs lay in the hands of his
son Vladimir Monomakh.

Sviatopolk

Vsevolod died April 13th, 1093, leaving two sons, Vladimir


Monomakh, who held Tchernigov, and Rostislav, who held
Pereiaslavl. He was succeeded by Sviatopolk, the second son of
Iziaslav, who was the rightful successor after the death of his brother
Iaropolk, who, it will be remembered, was assassinated. Monomakh
could easily have made himself grand prince, for he was the most
popular of the princes and gained great fame in his campaigns
against the Polovtsi, whom he defeated twelve times during the reign
of his father; but he was anxious to avoid violating the law of
succession and thus inviting civil war.
Sviatopolk’s reign began with a violation of the law of nations by
imprisoning ambassadors of the Polovtsi, who had come to negotiate
a treaty with him. In retaliation the nomads invaded the country, and
with so great a force that Vladimir and Rostislav, who had come to
the aid of the grand prince, advised him to purchase peace from the
enemy. He paid no heed to them, but the event soon justified the
prudence of their counsel. In the battle of Tripole, fought on May
23rd, 1093, the Russians sustained a disastrous defeat. Rostislav

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