Lectura Recomendada - Esch Et Al. - 2010 - Speech and Language Assessment A Verbal Behavior

You might also like

Download as pdf or txt
Download as pdf or txt
You are on page 1of 27

See discussions, stats, and author profiles for this publication at: https://www.researchgate.

net/publication/236200018

Speech and Language assessment: A verbal behavior analysis

Article in The Journal of Speech and Language Pathology, Applied Behavior Analysis · September 2010
DOI: 10.1037/h0100270

CITATIONS READS
18 1,183

3 authors:

Barbara E Esch Kate La Londe


Esch Behavior Consultants LLC Western Michigan University
14 PUBLICATIONS 266 CITATIONS 14 PUBLICATIONS 178 CITATIONS

SEE PROFILE SEE PROFILE

John W Esch
Western Michigan University
10 PUBLICATIONS 85 CITATIONS

SEE PROFILE

All content following this page was uploaded by Kate La Londe on 09 December 2014.

The user has requested enhancement of the downloaded file.


SLP- ABA Volume 5, Issue No. 2

Speech and language assessment:


A verbal behavior analysis
Barbara E. Esch, Kate B. LaLonde, and John W. Esch

Abstract

Speech-language assessments typically describe deficits according to form (topography), without


identifying the environmental variables responsible for the occurrence (function) of a particular utterance.
We analyze a database of 28 standardized speech-language assessments according to six response classes
including five of Skinner’s (1957) verbal operants. We discuss the importance of including a functional
analysis of speech-language skills to better inform treatment planning and target selection.
Recommendations for future research are included.
Keywords: speech-language, assessment, verbal behavior, functional analysis, verbal operant
____________________________________________________________________________________

Introduction

As practitioners concerned with treating speech-language disorders, one of our primary goals is to
accurately and efficiently determine which communication skills should be targeted for intervention. How
do we know when something needs to be taught? What defines a skill deficit or a communication
breakdown ? In everyday terms, a speech-language problem is signaled when a breakdown occurs in the
interaction between a speaker and a listener. That is, we say that communication is successful when the
outcome of an interaction is effective (i.e., functional), but when the interaction is weak and ineffective,
we suspect a deficit in the repertoire of one of the communication partners. Thus, the critical aspect that
defines communicative competence lies in the success of the dyad, a dynamic process comprised of
functional units of discourse between a speaker and a listener, even when these roles are assumed within a
single individual (e.g., Lodhi & Greer, 1989; Palmer, 1998; Skinner, 1957).
Despite the fundamentally social nature of communication, assessment tools for speech-language
deficits rarely take into account this requisite speaker-listener unit, nor is it routine to test for, describe, or
analyze specific breakdowns in this unit. Most speech-language assessments in widespread use today
evaluate response topographies (forms of responses) alone, without regard for a functional analysis of the
causal variables that lead to the specific topographic features of responses. Indeed, much assessment time
and energy is expended in classifying speech-language performance, not by its role within a unit of
functional communication between a speaker and a listener (i.e., cause and effect), but instead only by its
arbitrarily-labeled categories describing non-function based properties such as word structure (e.g., nouns,
verbs, plurals), modality (expressive, receptive), relationship (e.g., antonyms/synonyms, agreement), or
other inferred characteristics (e.g., ellipsis, nomination, phonological process). This focus is illustrated by
ASHA’s (1993) definition of language disorder as an impairment in “comprehension and/or use of
spoken, written, and/or other symbol systems. The disorder may involve (1) the form of language
(phonology, morphology, and syntax), (2) the content of language (semantics), and/or (3) the function of
language in communication (pragmatics) in any combination.” Although function is an element of this
definition, this usage of the term refers to a linguistic feature of language (pragmatics) in contrast to
Skinner’s analysis of function in which environmental variables describe (and thus, define) the contingent
relatio n that accounts for each particular instance of an utterance (i.e., language). As such, linguistic
descriptions are less adequate for applied work (i.e., treatments) than is Skinner’s model, which specifies
the variables that evoke and strengthen verbal behavior.
To be sure, a thorough topographic description of an individual’s speech-language repertoire may
be a necessary component to plan an appropriate therapy program, but it is insufficient to accomplish the
SLP- ABA Volume 5, Issue No. 2 

WDVNEHFDXVHDNH\HOHPHQWRIWKHHYDOXDWLRQLVPLVVLQJ2XUMREGXULQJDVVHVVPHQWLVWRGRFXPHQWQRW
PHUHO\RFFXUUHQFHVRIZURQJUHVSRQVHVWRDVVHVVPHQWLWHPVEXWDOVRWKHVSHDNHUOLVWHQHUHQYLURQPHQW
DQWHFHGHQWDQGFRQVHTXHQWYDULDEOHV LQZKLFKWKHWRSRJUDSK\RFFXUV,IDIXQFWLRQDODQDO\VLVRIWKH
VSHDNHUOLVWHQHUH[FKDQJHLVRPLWWHGIURPWKHDVVHVVPHQWDFULWLFDOSDUWRIODQJXDJHOHDUQLQJLVDWULVNRI
EHLQJH[FOXGHGIURPDQHIIHFWLYHLQWHUYHQWLRQSODQ 'DPLFR)URVW %RQG\/D5XH:HLVV
&DEOH5RZODQG 6FKZHLJHUW6SUDGOLQ 6LHJHO6XQGEHUJ 
0HDQLQJGHILQHGE\HQYLURQPHQWDOFRQWH[W7KHPHDQLQJRIYHUEDOEHKDYLRUVLVDIXQFWLRQRIWKHLU
FRQWUROOLQJYDULDEOHV +HJGH6NLQQHU 6SHDNHUVDQGOLVWHQHUVGRQRW³PDNHPLVWDNHV´³XVH
WKHZURQJZRUG´RU³IDLOWRJHQHUDOL]H´LQWKHRUGLQDU\VHQVH$UHVSRQVHGRHVQRWRFFXULQDYDFXXP
ZLWKRXWLWVFRQWUROOLQJYDULDEOHVRUYDULDEOH $XVWLQ%DWHV&DWDQLD6FKOLQJHU
6HDUOH DQGDWWHPSWLQJWRFDWDORJUHVSRQVHVZLWKRXWWKLVLQIRUPDWLRQSUHYHQWVRXUXQGHUVWDQGLQJRI
ZKDWDSDUWLFXODUUHVSRQVH³PHDQV´,WLVWKHDQDO\VLVRIDUHVSRQVHIRUPZLWKLQDFRQWH[WGHILQHGE\
DQWHFHGHQWDQGFRQVHTXHQWYDULDEOHVWKDWDOORZVXVWRGHWHUPLQHZKHWKHUWKHUHVSRQVHLVFRUUHFWRUQRW
)RUH[DPSOHWKHFDXVHHIIHFWFRQWH[WLQZKLFKDWKLUVW\SHUVRQDVNVIRUZDWHUSOHDVHLVGLIIHUHQWWKDQWKDW
LQZKLFKKHRUVKHLVQRWWKLUVW\EXWQHYHUWKHOHVVHPLWVZDWHULQUHVSRQGLQJWRDWHDFKHU¶VLQVWUXFWLRQVWR
UHSHDWDIWHUPH³ZDWHU´7KHSRLQWLVWKHVDPHUHJDUGOHVVRIWRSRJUDSKLHVVD\LQJZDWHULQ1HZ<RUNRU
DJXDLQ&RVWD5LFDRU:DVVHULQ*HUPDQ\GRHVQRW³PHDQ´WKHVDPHWKLQJZKHQRQHZDQWVZDWHUDVLW
GRHVZKHQRQHLVUHVSRQGLQJWRVD\³ZDWHU´RUUHSLWD³DJXD´RUELWWHZLHGHUKROH³:DVVHU´
7RSRJUDSK\LVLQWHUHVWLQJRQO\LQWHUPVRIWKHIXQFWLRQDOFRQWH[WLQZKLFKLWRFFXUV7KHSRLQW
DSSOLHVZKHWKHUFRQVLGHULQJDVLQJOHWRSRJUDSK\ HJZDWHUDJXD:DVVHU RUHTXLYDOHQWIRUPV
V\QRQ\PV :KHWKHUDVVHVVLQJRUWUHDWLQJVSHHFKODQJXDJHVNLOOVDNQRZOHGJHDEOHFOLQLFLDQZLOO
UHFRJQL]HWKDWWKHFRQGLWLRQVWKDWHYRNHSLFNOHDQGFXFXPEHUDUHQRWDWDOOWKHVDPHDVWKRVHVWLPXOLWKDW
HYRNHSLFNOHDQGSUHGLFDPHQW,WLVQRWWKHZRUGVWKDWPHDQWKHVDPHWKLQJDQWHFHGHQWDQGFRQVHTXHQW
UHODWLRQV HJUHTXHVWYVUHSHDWFRQWLQJHQFLHV DUHZKDWH[SODLQWKHRFFXUUHQFHRIWKHVHIRUPV7KDWLV
IRUPVPD\EHLQWHUFKDQJHDEOHRQO\WRWKHH[WHQWWKDWWKH\VKDUHWKHVDPHFRQWUROOLQJYDULDEOHV7KXV
³PHDQLQJ´LVWRSRJUDSK\ZLWKLQDFRQWLQJHQWUHODWLRQRIFRQWUROOLQJYDULDEOHVDQGLWLVWKLVFRQWLQJHQW
DUUDQJHPHQWWKDWHVWDEOLVKHVIXQFWLRQ LHPHDQLQJ 
:LWKRXWDVVHVVLQJWKHFRQWUROOLQJYDULDEOHV PRWLYDWLRQGLVFULPLQDWLYHVWLPXOLFRQVHTXHQW
VWLPXOL WKDWHYRNHDQGVWUHQJWKHQRUZHDNHQVSHHFKODQJXDJHUHVSRQVHVZHPD\IDLOWRLGHQWLI\
DSSURSULDWHIXQFWLRQDO FDXVHHIIHFW UHODWLRQVE\ZKLFKGHIHFWLYHIRUPV HJJUDPPDWLFDOHUURUV RID
GLVRUGHUVKRXOGEHUHPHGLDWHG(YDOXDWLRQVWKDWUHVXOWLQHIIHFWLYHLQWHUYHQWLRQSODQVLQFOXGHDQ
H[DPLQDWLRQRIWKHUHDVRQV FRQWUROOLQJYDULDEOHV WKDWDQLQGLYLGXDO¶VYHUEDOHQYLURQPHQWZRXOGRFFDVLRQ
RUPDLQWDLQSDUWLFXODUVSHHFKODQJXDJHWRSRJUDSKLHV ULJKWRUZURQJ LQWKHILUVWSODFH:HPXVWDFFRXQW
IRUWKHVHRFFXUUHQFHVE\GHWHUPLQLQJWKHFRQGLWLRQVWKDWHYRNHDQGPDLQWDLQWKHPWRDGHTXDWHO\
SUHVFULEHDWUHDWPHQWSURJUDPWKDWZLOOHOLPLQDWHPRGLI\RURWKHUZLVHUHVROYHWKHVHHUURUV
,QVXPDFRPSOHWHVSHHFKODQJXDJHDFFRXQW 6NLQQHU ZRXOGGHVFULEHQRWRQO\WKHIRUPRI
DVSHDNHU¶VUHVSRQVHEXWLWZRXOGDOVRH[SODLQWKHIXQFWLRQRILQWHUDFWLRQVEHWZHHQDVSHDNHUDQGD
OLVWHQHUUHVXOWLQJLQDGHWDLOHGGHVFULSWLRQRIUHVSRQVHHUURUVLQWHUPVRIWKHLUWRSRJUDSKLHV VSHFLILF
ZRUGV DQGWKHHQYLURQPHQWDOFRQWH[WV DQWHFHGHQWFRQVHTXHQWVWLPXOL LQZKLFKWKRVHWRSRJUDSKLFDO
HUURUVRFFXU7KLVZRXOGSURYLGHERWKWKHGHVFULSWLRQ WRSRJUDSK\ DQGWKHH[SODQDWLRQ IXQFWLRQ IRUDQ\
JLYHQUHVSRQVH6XFKDQDFFRXQWLVHVVHQWLDOIRUSODQQLQJDQGFDUU\LQJRXWHIIHFWLYHLQWHUYHQWLRQVZKHWKHU
WKH\LQYROYHVLPSOHRUFRPSOH[WUHDWPHQWV:LWKRXWVXFKLQIRUPDWLRQZHULVNHPEDUNLQJRQDQ
LQFRPSOHWHRUSRRUO\DUWLFXODWHGWUHDWPHQWSURJUDPWKDWSURGXFHVRUPDLQWDLQVHUURUV LHSRRUVWLPXOXV
FRQWURORYHUFRUUHFWUHVSRQVHV UHVXOWLQJLQJDSV HJVSOLQWHUVNLOOV LQWKHRYHUDOOYHUEDOUHSHUWRLUH VHH
%DNHU/H%ODQF 5DHW]*UHHU 5RVV 
7UHDWPHQW(IILFDF\
$SHUSOH[LQJGLVFUHSDQF\FXUUHQWO\H[LVWVZLWKUHVSHFWWRDVVHVVPHQWDQGWUHDWPHQWRIVSHHFK
ODQJXDJHGLVRUGHUV2QWKHRQHKDQGVWDQGDUGL]HGDVVHVVPHQWWRROVWKDWGRPLQDWHLQWKHILHOGRIVSHHFK

 
SLP- ABA Volume 5, Issue No. 2 

ODQJXDJHSDWKRORJ\DUHEDVHGRQDQGUHVXOWLQDOLQJXLVWLFGHVFULSWLRQRIVSHHFKODQJXDJH\HWDWEHVW
WKHVHDVVHVVPHQWVFDQRQO\ZHDNO\LQIRUPWUHDWPHQWEHFDXVHDOLQJXLVWLFDSSURDFKWRWUHDWPHQWGRHVQRW
H[LVW +HJGH 0DXO ,WLVWUXHWKDWQRWDOOVSHHFKSDWKRORJLVWVUHO\VROHO\RQVWDQGDUGL]HGWRROVWR
LQIRUPWKHLUWUHDWPHQWV+RZHYHUZKHWKHUWKH\XVHVWDQGDUGL]HGWHVWVDORQHRUWKH\VXSSOHPHQWWKHP
ZLWKRWKHULQIRUPDWLRQ HJODQJXDJHVDPSOHV WKHDQDO\VLVRIVNLOOVIRUWKHSXUSRVHRIGLDJQRVLVDQG
WUHDWPHQWSODQQLQJLVOLQJXLVWLFDOO\EDVHG7KLVLVKDQGLFDSSLQJEHFDXVHGHVSLWHOLQJXLVWLFLQIRUPDWLRQ
IURPWKHDVVHVVPHQWWKHWKHUDSLVWODFNVWKHIXQFWLRQDODQDO\VLVRIYHUEDOEHKDYLRUQHHGHGWRHIIHFW
EHKDYLRUFKDQJHZKLFKLVWKHVROHDLPRIWKHUDS\0RUHRYHUKHRUVKHPXVWORRNHOVHZKHUH LHDSSOLHG
EHKDYLRUDQDO\VLV IRUHIIHFWLYHWHDFKLQJWRROV HJ&RRSHU+HURQ +HZDUG+HJGH
0LOWHQEHUJHU DQGIRUPDWV HJ/RYDDV 6PLWK WKDWFDQVXSSRUWFOLQLFDOLQWHUYHQWLRQ%\
FRQWUDVWDIXQFWLRQDO EHKDYLRUDO DSSURDFKWRVSHHFKODQJXDJHKDVDOUHDG\EHHQGHVFULEHGIRUERWK
DVVHVVPHQW HJ&DUU 'XUDQG'XNHU)URVW %RQG\*UHHU 5RVV+DUW 
5RJHUV:DUUHQ/HUPDQHWDO6SUDGOLQ6XQGEHUJ6XQGEHUJ 3DUWLQJWRQ
 DQGIRUWUHDWPHQW VHH+HJGH2JOHWUHH 2UHQDQG6DXWWHU /H%ODQFIRU
UHYLHZV 'HVSLWHWKLVLWLVRQO\VSHHFKODQJXDJHWUHDWPHQWWKDWVHHPVWRKDYHEHHQLQIOXHQFHGE\
EHKDYLRUDQDO\VLVDQGLWVWHFKQRORJ\ HJ%RXUJHRLV.RXUL5YDFKHZ ZKHUHDV
DVVHVVPHQWRIWKHVHGLVRUGHUVUHPDLQVILUPO\OLQJXLVWLFDOO\EDVHGRQWRROV VHH'LUHFWRU\$PHULFDQ
6SHHFK/DQJXDJH+HDULQJ$VVRFLDWLRQ$6+$ WKDWGRQRWLQFOXGHRUSURYLGHIRUDQDQDO\VLVRI
HQYLURQPHQWDOYDULDEOHVWKDWFRQWUROWKHVSHHFKODQJXDJHSHUIRUPDQFHVDVVHVVHG
,WLVSHUKDSVWKLVSUREOHPUHIHUUHGWRE\SURSRQHQWVRILQIRUPDO LHFULWHULRQUHIHUHQFHG 
DVVHVVPHQWV 1RWDUL %ULFNHU5RPDQF]\N/RFNVKLQ 0DWH\ IRUFKLOGUHQZLWKD
GLDJQRVLVRI$XWLVP6SHFWUXP'LVRUGHU $6' 7KHVHDGYRFDWHVDUJXHWKDWIRUWKLVSRSXODWLRQDWOHDVW
VWDQGDUGL]HGDVVHVVPHQWVW\SLFDOO\GRQRWLGHQWLI\DSSURSULDWHFXUULFXODUWDUJHWV$OWKRXJKIRFXVHGRQWKH
QHHGVRILQGLYLGXDOVZLWK$6'WKHVHDQGRWKHUGLVFXVVLRQV 1DWLRQDO$XWLVP&HQWHU HPSKDVL]H
WKHLVVXHRIWUHDWPHQWHIILFDF\IRUDOOLQGLYLGXDOVUHFHLYLQJVSHHFKODQJXDJHLQWHUYHQWLRQDQGWKHQHHGWR
DGPLQLVWHUDVVHVVPHQWVWKDWDUHFRPSUHKHQVLYHHQRXJKWRLQIRUPWUHDWPHQW
7KH3XUSRVHRI$VVHVVPHQW
6SHHFKODQJXDJHDVVHVVPHQWLVFRQGXFWHGIRUPDQ\UHDVRQV,WFDQSURYLGHGLDJQRVWLFODEHOV HJ
VSHFLILFODQJXDJHLPSDLUPHQWDSUD[LDRIVSHHFKDSKDVLD DQGKHOSGHWHUPLQHWKHUDS\SURJUHVV,WFDQ
DOVRVXSSRUWGRFXPHQWDWLRQUHTXLUHGE\DJHQFLHVVXFKDVSHUIRUPDQFHFRPSDULVRQV LHQRUP
UHIHUHQFHGGDWD IRU,QGLYLGXDOL]HG(GXFDWLRQDO3ODQVLQVFKRROVDQGVWDWXVXSGDWHVIRUUHLPEXUVHPHQW
SXUSRVHVLQPHGLFDODQGFOLQLFDOVHWWLQJV%XWE\IDURQHRIWKHPRVWLPSRUWDQWSXUSRVHVRIDQDVVHVVPHQW
WRROLVWRSURYLGHDGHTXDWHLQIRUPDWLRQWRSODQDQHIIHFWLYHLQWHUYHQWLRQWKDWILWVLQWRDVHTXHQFHG
FXUULFXOXPRIVNLOOV$VPHQWLRQHGHDUOLHUPRVWVWDQGDUGL]HGDVVHVVPHQWWRROVXVHGE\6/3VDUHEDVHG
WKHRUHWLFDOO\RQDOLQJXLVWLFDQDO\VLVRIODQJXDJHIRUZKLFKQRFRUUHVSRQGLQJWUHDWPHQWPHWKRGVDUH
DYDLODEOH7KLV³FRQFHSWXDOLQFRQVLVWHQF\´ +HJGH 0DXO UHVXOWVIURPVHYHUDOKLVWRULFDO
LQIOXHQFHVRQWKHGHYHORSPHQWRIWKHSURIHVVLRQ¶VWKHRUHWLFDOEDVHDQGPD\H[SODLQWKHSURPLQHQFH
1RYDN 3HODH] RIGLDJQRVWLFODEHOV HJDSUD[LDDXGLWRU\SURFHVVLQJGLVRUGHU LQWHUPVRI
K\SRWKHWLFDOFRQVWUXFWVLQOLHXRIIXQFWLRQEDVHGH[SODQDWLRQVRIEHKDYLRU'XFKDQ  WUDFHVWKH
FXUUHQWFRQFHSWXDOSHUVSHFWLYHLQVSHHFKSDWKRORJ\IURPDQHPSKDVLVRQSV\FKRORJLFDOSURFHVVLQJ 
WR WROLQJXLVWLFV WR DQGILQDOO\WRSUDJPDWLFV WR DWZKLFKWLPH³ZH
UHFRQVLGHUHGDQGUHIUDPHGODQJXDJHLQOLJKWRILWVFRPPXQLFDWLYHOLQJXLVWLFFXOWXUDODQGHYHU\GD\OLIH
FRQWH[WV´ S ,WLVXQFOHDUZKDWLVPHDQWE\³HYHU\GD\OLIHFRQWH[WV´EXWDIXQFWLRQDO FDXVHHIIHFW 
DQDO\VLVRIODQJXDJHPD\EHWKHJRDO0XFKRIZKDWLVGHVFULEHGLQWKLVKLVWRULFDOUHYLHZKLQWVDWWKHQHHG
WRDGGUHVVEHKDYLRUDOIXQFWLRQ VHHDOVR3UL]DQW 'XFKDQ DQGWKHUHLVDWDQJHQWLDOQRGWREHKDYLRU
DQDO\VLVHYLGHQWLQ'XFKDQ¶VSURJUDPGHVFULSWLRQVWKDWLQFOXGHVDERWDJHWHFKQLTXHV LHPRWLYDWLQJ
RSHUDWLRQV/DUDZD\6Q\FHUVNL0LFKDHO 3ROLQJ DQGUHVSRQVHLQWHQWV LHPDQGWDFW
LQWUDYHUEDO6NLQQHU 'HVSLWHWKLVWKHGHVFULSWLYHIRFXVLQFOXGLQJWKDWZLGHO\DYDLODEOH HJ
3LQNHU WRJHQHUDOFRQVXPHUVLQWHUHVWHGLQODQJXDJHGHYHORSPHQWUHPDLQVFOHDUO\QRQEHKDYLRUDO

 
SLP- ABA Volume 5, Issue No. 2 

HJSV\FKROLQJXLVWLFVNLOOVOLQJXLVWLFUHODWLRQVKLSV :KDWKDVHYROYHGDQGSHUPHDWHVWKHILHOGRI
VSHHFKSDWKRORJ\DSSHDUVWREHODUJHO\DQRQEHKDYLRUDOYLHZRIODQJXDJHOHDUQLQJLQZKLFKDIXQFWLRQDO
DQDO\VLVIRUPDQ\SURIHVVLRQDOVPD\QRWPHDQDFDXVDOH[SODQDWRU\DQDO\VLVRIYHUEDOEHKDYLRULQWHUPV
RIWKHHQYLURQPHQWDOVWLPXOLWKDWHYRNHDQGPDLQWDLQLWEXWUDWKHUPD\UHVRQDWHPRUHDVDGHVFULSWLRQRI
WKH³XVHRIODQJXDJH´7KLVFDQLPSHGHSUHVFULSWLRQDQGUHPHGLDWLRQHIIRUWVE\IDLOLQJWRSURYLGHDIXOO
DFFRXQWRIVSHHFKODQJXDJHSHUIRUPDQFHVSHDNHUOLVWHQHULQWHUDFWLRQVFRPSULVHGRIQRWRQO\
WRSRJUDSKLFVWUXFWXUDOGHVFULSWLRQVEXWDOVRRIIXQFWLRQDO LHFDXVDO H[SODQDWLRQVIRUWKHRFFXUUHQFHRI
WKRVHWRSRJUDSKLHV
&KDOOHQJHVWR5HVROYH
$QXPEHURILVVXHVSUHVHQWERWKDVVHVVPHQWDQGFOLQLFDODSSOLFDWLRQFKDOOHQJHVIRUVSHHFKSDWKRORJLVWV
DQGRWKHUVUHVSRQVLEOHIRUWHDFKLQJVSHHFKODQJXDJHVNLOOV:HSURSRVHWKDWVROXWLRQVDUHDYDLODEOHWRKHOS
UHVROYHWKHVHLVVXHVE\DSSO\LQJDEHKDYLRUDODQDO\VLVWRWKHDVVHVVPHQWSURFHVVLQLWLDOO\DQGODWHU
WKURXJKRXWWUHDWPHQW2XUGLVFXVVLRQRIWKHVHFRQFHUQVIROORZV
 5HFHSWLYH([SUHVVLYH'LFKRWRP\
6SHHFKODQJXDJHDQGLWVDVVHVVPHQWLVW\SLFDOO\GHVFULEHGDVFRQVLVWLQJRIWZRFDWHJRULHV
UHFHSWLYHDQGH[SUHVVLYH$FFRUGLQJO\WUHDWPHQWSODQVDUHOLNHO\WRFKDQQHOWKHWKHUDSHXWLFIRFXV
LQWRWKLVVDPHGLFKRWRP\$VDUHVXOWVSHDNHUDQGOLVWHQHUUHSHUWRLUHVPD\EHUHJDUGHGDVVLPSO\
WZRKDOYHVRIDFRPPRQFRJQLWLYHSURFHVVLQZKLFKZRUGVDUH³XQGHUVWRRG´LQRQHPRGDOLW\DQG
³XVHG´LQDQRWKHU,QVWHDGRIFRQVLGHULQJODQJXDJHDVSHUIRUPDQFH LHEHKDYLRU WKLVWUDGLWLRQDO
YLHZRIODQJXDJHLPSOLHVWKDWDODQJXDJHHQWLW\H[LVWVVWUXFWXUDOO\DVDW\SHRIFRJQLWLYHKROGLQJ
WDQNIURPZKLFKDSSURSULDWHUHVSRQVHV LH³PHDQLQJ´ DUHFKRVHQWRILWDSDUWLFXODU
FRPPXQLFDWLYHVLWXDWLRQ7KHQRWLRQLVWKDWVSHDNHUVWRJJOHEHWZHHQVHOHFWLQJDZRUGDQGXVLQJ
LW,WLVVLJQLILFDQWKRZHYHUWKDWZHGRQRWDSSHDOWRDVLPLODUFRJQLWLYHDFFRXQWWRH[SODLQ
QRQYHUEDOEHKDYLRUVVXFKDVVFUDWFKLQJDQLWFKRUVFUXEELQJDSRW1RRQHZRXOGDVVHUWWKDW
ZKHQWKHPRVTXLWRELWHVZHVHOHFWDVFUDWFKIURPDPHQWDOUHVHUYRLURIDYDLODEOHPXVFOHDFWLRQV
:HZRXOGEHVDWLVILHGWRFRQWHQGWKDWWKHLWFKLQHVVRFFXUUHGZHVFUDWFKHGLWDQGWKHLWFKZHQW
DZD\
,QFRQWUDVWWROLQJXLVWLFH[SODQDWLRQVRIODQJXDJHDEHKDYLRUDOYLHZSRVLWVWKDWZHZRXOG
QRW³XVH´DZRUGZDWHUIRUH[DPSOHDQ\PRUHWKDQZHZRXOG³XVHDUHDFK´ 6NLQQHUS 
WRREWDLQWKHZDWHULWVHOI,QVWHDGDQWHFHGHQWDQGFRQVHTXHQWFRQGLWLRQVUHODWHGWRZDWHUDUH
VXIILFLHQWWRHYRNHHLWKHUUHVSRQVHZKHWKHUDQRQYHUEDOUHDFKIRUZDWHURUDYHUEDOZDWHU +HJGH
0DXO 1RWKLQJLVJDLQHGE\LQVHUWLQJDK\SRWKHWLFDOFRQVWUXFW UHFHSWLYHRUH[SUHVVLYH
³XVH´ LQWRDQH[SODQDWLRQRIZK\WKHUHVSRQVHRFFXUUHG:HVWLOOKDYHWRDFFRXQWIRUHDFK
LQVWDQFHRIWKHSURSRVHGXVH 6XQGEHUJ 0LFKDHO 7KLVUHTXLUHVLGHQWLI\LQJWKHUHVSRQVH
RILQWHUHVWDVSDUWRIDXQLWRIPRWLYDWLRQDOYDULDEOHVSURPSWVLQVWUXFWLRQVDQGFRQVHTXHQFHV
,QVWHDGRIUHVLGLQJDWWKHUHDG\LQDVRUWRIFRJQLWLYHFRQWDLQHUVSHHFKODQJXDJHVNLOOVDUHPRUH
XVHIXOO\FKDUDFWHUL]HGDVGLIIHUHQWUHSHUWRLUHVEDVHGRQVHSDUDWHIXQFWLRQDOUHODWLRQVEHWZHHQ
DQWHFHGHQWDQGFRQVHTXHQWFRQGLWLRQV +HJGH 0DXO6FKOLQJHU6XQGEHUJ 
0LFKDHO 
$SSHDOLQJWRK\SRWKHWLFDOFRQVWUXFWVWRH[SODLQLQVWDQFHVRIYHUEDOEHKDYLRUFDQREVFXUH
DFOLQLFLDQ¶VHIIRUWVWRSLQSRLQWHUURUVGXULQJDVVHVVPHQWDQGWRWDUJHWDFRRUGLQDWHGVHTXHQFHRI
VNLOOVIRUUHPHGLDWLRQ&RQVLGHUDVLWXDWLRQLQZKLFKDFKLOGGRHVZHOORQDUHFHSWLYHWHVWRIYHUE
WHQVHEXWIDLOVYHUELWHPVRQDQH[SUHVVLYHWHVW HJ&(/)6HPHO:LLJ 6HFRUG ,V
WKHSUREOHPZLWKWKHVSHDNHUUHSHUWRLUH H[SUHVVLYH LQJHQHUDORUZLWKYHUEWHQVHVSHFLILFDOO\"
6KRXOGWUHDWPHQWFRQVLVWRIUHSHDWLQJYHUEWHQVHIRUPVZKLOHORRNLQJDWSLFWXUHV HJWKHER\LV
UXQQLQJ RUVKRXOGLWSURYLGHSUDFWLFHLQFRPSOHWLQJVHQWHQFHV HJ%RELVZDONLQJEXW5HJJLHLV
 ZLWKSLFWXUHVRUZLWKRXW":KDWLIWKHOHDUQHUFDQODEHOSLFWXUHVZLWKSURJUHVVLYHYHUEIRUPV
HJ7:)*HUPDQ EXWFDQQRWFRPSOHWHVHQWHQFHVZLWKFRUUHFWYHUEIRUPVRUFKDQJHV

 
SLP- ABA Volume 5, Issue No. 2 

YHUEWHQVHZKHQDVNHGWRUHSHDWVHQWHQFHV HJ&(/)DOVR&(/)3:LLJ6HFRUG 6HPHO
72/'31HZFRPHU +DPPLOO DWDVNWKDWHVVHQWLDOO\WHVWVHFKRLFVNLOOV",VWKLV
DSUREOHPRIYHUEWHQVHVHQWHQFHFRPSOHWLRQRUSRRUUHSHWLWLRQ LHHFKRLF ":KDWDERXWWKH
OHDUQHUZKRFDQVD\UK\PLQJZRUGVEXWFDQQRWSRLQWWRWKHP HJ3/6=LPPHUPDQ6WHLQHU
3RQG ",VWKHSUREOHPUHFHSWLYHRUGRHVLWLQGLFDWHDSRRU SRVVLEO\FRYHUW HFKRLF
UHSHUWRLUH LH³H[SUHVVLYH´ "+RZDUHZHWRLQWHUSUHWUHVXOWVRIDWHVWWKDWVKRZVDFKLOGFDQ
SRLQWWRDSXSS\LQUHVSRQVHWRZKLFKRQHLVOLWWOHEXWFDQQRWWHOO\RXWKHRSSRVLWHRIELJ"6KRXOG
\RXZRUNRQDGMHFWLYHVRSSRVLWHVRUJHQHUDOH[SUHVVLYHVNLOOV"7KHVHVLWXDWLRQVH[HPSOLI\WKH
GLIILFXOW\LQGHWHUPLQLQJLQWHUYHQWLRQWDUJHWVIURPDVVHVVPHQWVZKHUHVNLOOVDUHQRWH[SODLQHG
IXQFWLRQDOO\ LHE\WKHLUFRQWUROOLQJYDULDEOHV EXWLQVWHDGWKH\DUHGHILQHGOLQJXLVWLFDOO\DQG
FDWHJRUL]HGWRSRJUDSKLFDOO\DVHLWKHUUHFHSWLYHRUH[SUHVVLYH
 0LVPDWFK%HWZHHQ$VVHVVPHQW)RFXVDQG5HDO:RUOG&RQWLQJHQFLHV
0RVWVSHHFKODQJXDJHWHVWVLQZLGHXVHWRGD\DUHVWDQGDUGL]HGLQVWUXPHQWV $6+$
 WKDWSURYLGHLQIRUPDWLRQDERXWVNLOOVVROHO\DFFRUGLQJWROLQJXLVWLFSDUDPHWHUVGHVFULEHG
HDUOLHUDVWRSRJUDSKLFUHVSRQVHV+RZHYHUWKHVSHHFKODQJXDJHEHKDYLRUHPLWWHGE\DQ
LQGLYLGXDOGRHVQRWH[LVWLQDWRSRJUDSK\RQO\VHQVHDEVHQWLWVHIIHFWRQDOLVWHQHU 6NLQQHU
 DQGLQWKHUHDOZRUOGWRSRJUDSKLFHUURUV WKRXSIRUVRXS DUHGLVUHJDUGHG +DUW 5RJHUV
:DUUHQ XQOHVVWKHLUIRUPLVWRRGHYLDQW HJP\GRJJ\UXQGHGDZD\ 7RSRJUDSKLHV
EHFRPHIXQFWLRQDOHQWLWLHV LHPHDQLQJIXO RQO\ZKHQWKH\RFFXULQDG\QDPLFHQYLURQPHQW
FRQVLVWLQJRIDWOHDVWRQHVSHDNHUDQGRQHOLVWHQHU:HFDQQRWNQRZZKDWDVSHDNHUPHDQVLIZH
KHDUKLPRUKHUVD\VKRHPHUHO\RQWKHEDVLVRIWKHWRSRJUDSK\ ZRUG LWVHOI:HQHHGDFFHVVWR
WKHVSHDNHU¶VUHDVRQVDGHVFULSWLRQRIWKHFRQGLWLRQVWKDWHYRNHGVXFKDUHVSRQVH +HJGH 
)XQFWLRQDOVSHHFKODQJXDJHEHKDYLRULVHYRNHGDQGVWUHQJWKHQHGLQDXQLWLQZKLFKDQWHFHGHQW
DQGFRQVHTXHQWVWLPXOLRFFXULQWHPSRUDOSUR[LPLW\WRDQLQVWDQFHRIDVSHDNHU¶VWRSRJUDSKLF
EHKDYLRUDQGFRPELQHWREHFRPHIXQFWLRQDOFRPPXQLFDWLRQ VHH6DXWWHU /H%ODQF 
7KHUHIRUHLWVGHVFULSWLRQWREHXVHIXOIRUWUHDWPHQWSODQQLQJPXVWLQYROYHPRUHWKDQMXVWD
GHVFULSWLRQRIWRSRJUDSK\,QVWHDGZHQHHGWRGHVFULEHVSHHFKODQJXDJHEHKDYLRUPRUH
IXQFWLRQDOO\ HJ%DNHUHWDO*UHHU 5RVV.RHJHO .RHJHO ZLWKUHVXOWLQJ
HYDOXDWLRQWRROV HJ6XQGEHUJ3DUWLQJWRQ 6XQGEHUJ WKDWWDNHWKLVIXQFWLRQDO
XQLWLQWRDFFRXQW
 7UHDWPHQW,QWHUIHUHQFH'XHWR3UREOHP%HKDYLRU
:HKDYHRIWHQKHDUGWKHVHQWLPHQWH[SUHVVHGE\FOLQLFLDQVDQGRWKHUVWKDW³,FDQ¶WZRUN
ZLWKWKLVSHUVRQXQWLOKLV RUKHU EHKDYLRULVIL[HG´,WLVWUXHWKDWLQWHUIHULQJEHKDYLRULVD
SUREOHP\HWLWQHHGQRWSUHFOXGHRXUDVVHVVPHQWDQGWHDFKLQJHIIRUWV$JRRGILUVWVWHSLVWRDVN
³LIKHZHUHVSHDNLQJ(QJOLVK RUDQ\ODQJXDJH ULJKWQRZLQVWHDGRIFU\LQJKLWWLQJUXQQLQJ
DZD\ZKDWZRXOGKHEHVD\LQJ"´
7KURXJKIXQFWLRQDODQDO\VLV ,ZDWD'RUVH\6OLIHU%DXPDQ 5LFKPDQ LWLV
SRVVLEOHWRLGHQWLI\DQGDGGUHVVZHDNVSHHFKODQJXDJHUHSHUWRLUHVWKDWDUHIXQFWLRQLQJDVSUREOHP
EHKDYLRU)XQFWLRQVKDYHEHHQLGHQWLILHGWKDWLQGLFDWHSUREOHPEHKDYLRUDOWKRXJKQRW
UHFRJQL]DEOHDVWUXHODQJXDJHLQIRUPLVLQGHHGIXQFWLRQLQJDVODQJXDJHWRJDLQDFFHVVWR LH
UHTXHVW DWWHQWLRQWDQJLEOHVRUHVFDSHIURPWDVNGHPDQGV HJ'Z\HU0RRUH 'L[RQ
.RGDN1RUWKXS .HOOH\ 
)RUOHDUQHUVZLWKZHDNFRPPXQLFDWLRQVNLOOVGLVJXLVHGDVSUREOHPEHKDYLRUOLVWHQHU
VNLOOVDUHRIWHQWKHLQLWLDOIRFXVRIWKHUDS\ LHFRPSOLDQFHWUDLQLQJ EHFDXVHWKHVHVNLOOVZHUHWKH
ZHDNHVW DQGWKXVPRVWVDOLHQW GXULQJDVVHVVPHQW$OWKRXJKOLVWHQHUVNLOOVDUHFULWLFDOO\
LPSRUWDQWLQWKHRYHUDOOVSHHFKODQJXDJHUHSHUWRLUHIRFXVLQJLQLWLDOWUHDWPHQWRQWKRVHVNLOOVPD\
EHXQSURGXFWLYHIRUOHDUQHUVZLWKLQWHUIHULQJEHKDYLRUSUREOHPV)URPDIXQFWLRQDOVWDQGSRLQW
WKLVLVEHFDXVHWKHFRQVHTXHQFHVIRUOLVWHQHUUHVSRQVHVGRQRWGLUHFWO\EHQHILWWKHVSHDNHU

 
SLP- ABA Volume 5, Issue No. 2 

6NLQQHU /HDUQHUVZKRDOUHDG\ILQGOLWWOHWRFRPSHOWKHPWRHQJDJHLQWUHDWPHQWDUH
XQOLNHO\WREHPRWLYDWHGE\JHQHUDOL]HGVRFLDOUHLQIRUFHUV LHSUDLVH ZKHQWKH\FDQHPLWHDVLHU
UHVSRQVHV HJKLWWLQJ WKDWUHDGLO\SURGXFHFRQVHTXHQFHVRIJUHDWHUYDOXHWRWKHP)RUWKH
OHDUQHUZLWKDKLVWRU\RIIDLOXUHIRUVSHHFKODQJXDJHDWWHPSWVPDQG LHUHTXHVW DVVHVVPHQWDQG
WUDLQLQJLVDJRRGILUVWFKRLFH (VFK.RHJHO .RHJHO EHFDXVHWKHFRQVHTXHQFHV
WKDWPDLQWDLQPDQGEHKDYLRUDUHVSHFLILFDQGDUHRIGLUHFWEHQHILW LH\RXJHWZKDW\RXDVNIRU 
7KHNH\LVVXHLVWRWUDLQUHVSRQVHVWKDWDUHHTXLYDOHQWLQIXQFWLRQ HJDFFHVVWRDWWHQWLRQ EXW\HW
DUHPRUHVRFLDOO\DFFHSWDEOHLQIRUP HJDVNLQJLQVWHDGRIKLWWLQJ 
7\SLFDOO\GHYHORSLQJFKLOGUHQGHYHORSDVWURQJUHSHUWRLUHRIPDQGVEHIRUHRWKHUYHUEDO
RSHUDQWV %LMRX %DHU1RYDN DQGOLNHDQ\RWKHUOHDUQHUZKHQWKLVVNLOOVHWLV
GHIHFWLYHLWLVQRWXQXVXDOWRVHHSUREOHPEHKDYLRUVDULVHWKDWILOOWKHIXQFWLRQDOYDFXXP
7KHUHIRUHWKHWDVNRIDVVHVVPHQWLVWRLGHQWLI\QRWRQO\LQDSSURSULDWHUHVSRQVHIRUPEXWLWV
IXQFWLRQ:LWKRXWGHWHUPLQLQJIXQFWLRQHOLPLQDWLQJDQRIIHQVLYHIRUPDORQHLVXQOLNHO\WR
VXFFHHG7KURXJKDVVHVVPHQWRIYHUEDOIXQFWLRQVWKHWKHUDSLVWFDQLGHQWLI\DSSURSULDWHPDQGVWR
WHDFKLQRUGHUWRSURYLGHWKHOHDUQHUFKLOGRUDGXOWZLWKVSHHFKODQJXDJHUHVSRQVHVWKDWDUH
DGDSWLYHLQWKHQDWXUDOHQYLURQPHQWUHJDUGOHVVRIGLDJQRVLV HJ$6'WUDXPDWLFEUDLQLQMXU\ 
GLVDELOLW\ODEHO HJGHYHORSPHQWDOODQJXDJHLPSDLUPHQWDSKDVLDDSUD[LDRIVSHHFK RU
HGXFDWLRQDOVHWWLQJ HJKRPHVFKRROKRVSLWDOFOLQLF 
 ,GHQWLI\LQJDQG6HTXHQFLQJ,QWHUYHQWLRQ7DUJHWV
$VVHVVPHQWVKRXOGOHDGWRDSODQIRULQWHUYHQWLRQDSUHVFULSWLYHOLVWRIWDUJHWVWREH
DFTXLUHG /H%ODQF'LOORQ 6DXWWHU :KHQDVVHVVPHQWVLGHQWLI\GHILFLWVLQQRQ
IXQFWLRQDOWRSRJUDSKLFWHUPVDORQH HJGHULYDWLRQDODGMHFWLYHVLQIOHFWLRQYHUEV LWFDQEH
GLIILFXOWWRSLQSRLQWVSHFLILFVSHHFKODQJXDJHUHVSRQVHVWKDWZRXOGEHPDQDJHDEOHWKHUDS\WDUJHWV
RUWRGHWHUPLQHKRZWKH\ILWWRJHWKHUDVSDUWRIDFRPSHWHQWYHUEDOUHSHUWRLUH:KDWVKRXOGZH
WHDFKILUVW±QRXQVRSSRVLWHVSOXUDOVRUFRORUV"6KRXOGZHZRUNWRUHVROYHZRUGILQGLQJ
SUREOHPVEHIRUHQXPEHUUHSHWLWLRQRUUHODWLRQDOYRFDEXODU\"%HFDXVHQRQHRIXVKDVDFFHVVWRD
OHDUQHU¶VSHUFHSWLRQVRUFRJQLWLRQV 6FKOLQJHUVHHDOVR6FKOLQJHUWKLVLVVXH WDUJHWV
LGHQWLILHGLQOLQJXLVWLFWHUPVDUHQRWHDVLO\PRGLILDEOHXQWLOWKH\DUHUHLQWHUSUHWHGDVD
PHDVXUDEOHREVHUYDEOHVHWRIUHVSRQVHVGHILQHGDVSDUWRIDIXQFWLRQDOYHUEDOXQLWFRPSULVHGRI
DQWHFHGHQWDQGFRQVHTXHQWVWLPXOL*LYHQWKHVHPRUHFRQFUHWHFULWHULDLWLVHDV\WRVHHKRZ
WRSRJUDSKLFGHVFULSWLRQVDORQHGRQRWUHVROYHRXUGLDJQRVWLFWDVN

 )XQFWLRQVRIYHUEDOEHKDYLRU1RGRXEWPRVWUHDGHUVRIWKLVMRXUQDODUHIDPLOLDUZLWK
6NLQQHU¶V  DQDO\VLVRIYHUEDOEHKDYLRUZKLFKSURYLGHVDXVHIXOWKHRUHWLFDOIUDPHZRUNIRU
DVVHVVLQJDQGWKXVWUHDWLQJVSHHFKODQJXDJHEHKDYLRULQWHUPVRIWKHHQYLURQPHQWDOYDULDEOHV
WKDWFRQWUROYHUEDOUHVSRQVHV VHHDOVR*UHHU 5RVV+HJGHWKLVLVVXH6XQGEHUJ
6XQGEHUJ 3DUWLQJWRQ 7DEOHSUHVHQWVILYHRIWKHVHYHUEDORSHUDQWVWKDWDUHPRVW
UHOHYDQWWRRXUGLVFXVVLRQ,QEULHIFRQVLGHUWKHFRQGLWLRQVXQGHUZKLFKZHPLJKWHPLWWKH
UHVSRQVHFRRNLH:KHQKXQJU\ZHPLJKWDVNIRUFRRNLH:HFRXOGVD\FRRNLHLQUHVSRQVHWR
VHHLQJVPHOOLQJRUWDVWLQJRQHHYHQLIZHDUHQRWKXQJU\*LYHQWKHLQVWUXFWLRQVD\µFRRNLH¶ZH
PD\HPLWWKHUHTXLUHGUHSHWLWLRQ$OVRZHFRXOGOLNHO\UHVSRQGFRRNLHWRRQHRIPDQ\YHUEDO
VWLPXOLUHODWHGWRWKHWRSLFRIFRRNLHV HJZKDWGLG\RXUPRPEDNHZKDWGRHVFRRNLHVSHOO 
)LQDOO\ZHPLJKWUHDGFRRNLHLIZHVDZLWZULWWHQRQWKH.HHEOHU“ER[7KHIRUHJRLQJH[DPSOHV
DUHLGHQWLILHGDVPDQGWDFWHFKRLFLQWUDYHUEDODQGWH[WXDORSHUDQWVUHVSHFWLYHO\DQGLQHDFK
LQVWDQFHWKHIRUPRIWKHUHVSRQVHLVWKHVDPH\HWWKHHQYLURQPHQWDOFRQGLWLRQV
DQWHFHGHQWFRQVHTXHQWVWLPXOL LQZKLFKHDFKUHVSRQVHZRXOGOLNHO\EHHPLWWHGDUHQRWDWDOO
HTXLYDOHQW:KHQDVVHVVPHQWVSURYLGHWKLVOHYHORIVSHHFKODQJXDJHLQIRUPDWLRQDPRUH
HIIHFWLYHLQWHUYHQWLRQSODQFDQEHGHVLJQHGRQHWKDWDGGUHVVHVQRWRQO\UHVSRQVHWRSRJUDSKLHVEXW

 
SLP- ABA Volume 5, Issue No. 2 

UHVSRQVHIXQFWLRQDVZHOOWKXVHQVXULQJDPRUHLQWHJUDWHGODQJXDJHOHDUQLQJH[SHULHQFHIRUWKRVH
ZHWHDFK

7DEOH'HVFULSWLRQVRIILYHHOHPHQWDU\YHUEDORSHUDQWV 6NLQQHU 
Verbal Antecedent events that Consequent events that
Response
Operant evoke the operant strengthen the operant

0RWLYDWLQJFRQGLWLRQV $VNLQJ 6SHFLILHGE\WKHPDQG


0DQG HJZDQWVWR\DLUSODQH  HJ$LUSODQH  HJ*HWVWR\DLUSODQH 

9HUEDOVWLPXOXV YRFDO  5HSHDWLQJ *HQHUDOL]HGVRFLDOUHLQIRUFHUV


(FKRLF HJ³6D\µDLUSODQH¶´  HJ$LUSODQH  HJ³5LJKW´ 

1RQYHUEDOVWLPXOXV /DEHOLQJ *HQHUDOL]HGVRFLDOUHLQIRUFHUV


7DFW HJ$LUSODQHIOLHVRYHUKHDG  HJ/RRN0RPP\$LUSODQH  HJ0RP³:RZ7KDW¶VUHDOO\ELJ´ 

9HUEDOVWLPXOXV DQ\  &RQYHUVDWLRQ *HQHUDOL]HGVRFLDOUHLQIRUFHUV


,QWUDYHUEDO HJ³'LG\RXDUULYHE\WUDLQ"´  HJ1RDLUSODQH  HJ³2KKRZZDVWKHIOLJKW"´ 

9HUEDOVWLPXOXV WH[WXDO  5HDGLQJ *HQHUDOL]HGVRFLDOUHLQIRUFHUV


7H[WXDO HJ:RUG$,53/$1(  HJ$LUSODQH  HJ³*RRGUHDGLQJ´ 

127()XQFWLRQVWKDWPD\LQYROYHFRPSOH[ODQJXDJHEHKDYLRU HJSUREOHPVROYLQJUHPHPEHULQJMRLQWFRQWURO
HPHUJHQWUHODWLRQV DUHRXWVLGHWKHVFRSHRIWKLVSDSHU5HDGHUVLQWHUHVWHGLQWKHVHWRSLFVDUHUHIHUUHGWR'RQDKRH
DQG3DOPHU  /RZHQNURQ  RU5HKIHOGWDQG%DUQHV+ROPHV  

6HTXHQWLDO WDUJHWV$VVHVVPHQWVQHHGWRGRPRUHWKDQMXVWLGHQWLI\ZKDWQHHGVWREH
WDXJKW,QWHUYHQWLRQWDUJHWVDOVRQHHGWREHVHTXHQFHGLQVXFKDZD\WKDWWKHOHDUQHU¶VQHZ
FRPPXQLFDWLRQVNLOOVDFKLHYHVXFFHVVLQKLVRUKHUYHUEDOFRPPXQLW\DVTXLFNO\DVSRVVLEOH
*UHHU 5RVV 7HDFKLQJWDUJHWVVHTXHQFHGDFFRUGLQJWRDIXQFWLRQDODQDO\VLVRIYHUEDO
EHKDYLRUPD\EHPRUHHIILFLHQWWKDQIROORZLQJWUDGLWLRQDOO\GHILQHGVHTXHQFHV LHUHFHSWLYH
EHIRUHH[SUHVVLYH  0LJXHO 3HWXUVGRWWLU )RUH[DPSOH:LOOLDPVDQG*UHHU  
GHPRQVWUDWHGWKDWZKHQWDUJHWVZHUHGHILQHGLQWHUPVRIWKHLUYHUEDOIXQFWLRQFKLOGUHQOHDUQHG
IXQFWLRQDODQGVSRQWDQHRXVVSHHFKZKHUHDVZKHQOLQJXLVWLFWDUJHWVZHUHWDXJKWWKHFKLOGUHQ
OHDUQHGIHZHUIRUPVDQGIXQFWLRQV7KLVVWXG\VKRZVWKDWZKHQWKHYDULDEOHVWKDWFRQWUROD
VSHHFKODQJXDJHWDUJHWUHVSRQVHDUHLGHQWLILHGWKH\FDQEHXVHGPRGLILHGRURWKHUZLVHEURXJKW
WREHDURQWKHUHVSRQVHRILQWHUHVWWRKHOSDWKHUDSLVWHIIHFWFKDQJHLQWKHOHDUQHU¶VYHUEDOEHKDYLRU
WRXOWLPDWHO\EHFRPHDPRUHFRPSHWHQWVSHDNHU$VZHVKDOOVHHLQWKHQH[WVHFWLRQ VHH(UURU
$QDO\VLVEHORZ WKLVLVDSRZHUIXOWRROIRUWKHUDSLVWV
6RPHWLPHVWKHFRQWUROOLQJYDULDEOHVIRUFHUWDLQLQWHUYHQWLRQWDUJHWVDUHLQVLGHWKH
OHDUQHU¶VERG\DQGWKXVWKH\DUHLQDFFHVVLEOHWRWKHFOLQLFLDQ5HVSRQVHWDUJHWVOLNHWKHVHRIWHQ
FDOOHGIHHOLQJV HJWLUHGKDSS\VDGDQJU\VLFN DUHGLIILFXOWWRWHDFKEHFDXVHDVFOLQLFLDQV
ZHFDQQRWYHULI\WKHSUHVHQFHDEVHQFHRIWKHVWLPXOLWKDWHYRNHWKHP<HWWKHVHDQGRWKHUSULYDWH
HYHQWV 6FKOLQJHU 3ROLQJ6NLQQHU DUHFRPPRQO\WHVWHGLQVSHHFKODQJXDJH
DVVHVVPHQWV HJ3/652:397%URZQHOO72/'3 DQGDUHRIWHQVHOHFWHGDV
WDUJHWVWRWHDFKODEHOLQJQRQYHUEDOVWLPXOL LHWDFW WRFKLOGUHQZKRVHWDFWUHSHUWRLUHVDUHZHDN
HYHQIRUVWLPXOLWKDWDUHRXWVLGHWKHVNLQDQGWKXVDUHYHULILDEOHE\WHDFKHUDQGOHDUQHUDOLNH HJ
ERRNZDJRQSL]]D %HFDXVHRIWKLVDVVHVVPHQWVWKDWLGHQWLI\FRQWUROOLQJYDULDEOHVIRUSRWHQWLDO

 
SLP- ABA Volume 5, Issue No. 2 

LQWHUYHQWLRQWDUJHWV HJ6XQGEHUJ KDYHWKHDGYDQWDJHRISRLQWLQJFOLQLFLDQVWRZDUG
DSSURSULDWHWDUJHWVDQGDWWKHVDPHWLPHIRFXVLQJWKHLUHIIRUWVDZD\IURPWDUJHWVWKDWPD\VHHP
LPSRUWDQWEXWWKDWDUHSUHPDWXUHLQWKHGHYHORSPHQWDOIXQFWLRQDOFXUULFXOXP
 (UURUDQDO\VLV
7KHSXUSRVHRIVSHHFKODQJXDJHDVVHVVPHQWLVWRLGHQWLI\UHVSRQVHHUURUVLQWKHOHDUQHU¶V
YHUEDOUHSHUWRLUHVRWUHDWPHQWFDQEHSURYLGHGWKDWZLOOHOLPLQDWHWKHVHHUURUVLQWKHGD\WRGD\
FRPPXQLFDWLRQHQYLURQPHQWDQGUHSODFHWKHPZLWKPRUHDGHTXDWHUHVSRQVHV$VGLVFXVVHGD
FDUHIXODQDO\VLVRIWKHFRQWUROOLQJUHODWLRQVIRUVSHHFKODQJXDJHUHVSRQVHVFDQSURYLGHYDOXDEOH
LQIRUPDWLRQIRUWUHDWPHQWSODQQLQJ
7KHYDOXHRIDQHUURU(UURUUHVSRQVHVDUHLQVWUXFWLYHIRUFOLQLFLDQVEHFDXVHWKH\WHOOXVSUHFLVHO\
ZKDWYDULDEOHVFRQWUROWKHH[WDQWLQFRUUHFWUHVSRQVH$QDQDO\VLVRIWKHVHHUURUVDOORZVXVWR
WKHUHE\HVWDEOLVKFRUUHFWUHVSRQVHVDQGWRHOLPLQDWHVWLPXOLDVSURPSWV LHPXOWLSOHFRQWURO WKDW
DUHH[WUDQHRXVEXWFXUUHQWO\UHTXLUHGWRHYRNHWKHVHUHVSRQVHV 6XQGEHUJ 0LFKDHO 
)RUH[DPSOHDOHDUQHUPD\LQGHHGEHDEOHWRFRUUHFWO\DQVZHU+RZPDQ\IHHWGRHVDGXFNKDYH
ZKHQYLVLWLQJWKHGXFNSRQGDWWKHSDUNEXWPD\QRWEHDEOHWRHPLWWKHVDPHFRUUHFWUHVSRQVHRQ
WKHULGHKRPHZKHQWKHYLVXDOVWLPXOXV LHWKHGXFN LVDEVHQW%\FDWDORJLQJWKHFRQGLWLRQVLQ
ZKLFKDGHVLUHGUHVSRQVHGRHVDQGGRHVQRWRFFXUZHKDYHWKHLQIRUPDWLRQZHQHHGWRZULWH
LQWHUYHQWLRQSODQVWRWUDQVIHUFRQWUROIURPWKHFXUUHQWHYRFDWLYHYDULDEOHVWRWKRVHWKDWVKRXOG
HYRNHDQGPDLQWDLQFRUUHFWUHVSRQGLQJ
)XQFWLRQDOLQGHSHQGHQFHRIRSHUDQWVDQGVWLPXOXVFRQWUROWUDQVIHU:KHUHDVDYHUEDOO\
FRPSHWHQWVSHDNHUPD\UHDGLO\WDFWDIWHUOHDUQLQJWRPDQGRUWRUHVSRQGLQWUDYHUEDOO\DIWHU
OHDUQLQJWRSRLQWWRDQLWHPWKLVVHHPLQJO\DXWRPDWLFWUDQVIHURIIXQFWLRQGRHVQRWRFFXUHDVLO\
IRULQGLYLGXDOVZLWKVSHHFKODQJXDJHLPSDLUPHQW)RUH[DPSOHLQDVWXG\RIWDFWPDQGDQG
LQWUDYHUEDOUHVSRQGLQJ 6XQGEHUJ6DQ-XDQ'DZG\ $UJHOOHV LQGLYLGXDOVZLWK
WUDXPDWLFEUDLQLQMXU\GHPRQVWUDWHGKLHUDUFKLHVRIDFTXLVLWLRQVKRZLQJWKDWYHUEDOIXQFWLRQV
HJWDFWPDQG FRXOGEHDFTXLUHGIURPHFKRLFRUWH[WXDO LHOHWWHUV FRQWUROEXWWKDWVWLPXOXV
FRQWUROWUDQVIHU &DWDQLD IURPRQHIXQFWLRQWRDQRWKHUGLGQRWRFFXUZLWKRXWGLUHFW
WUDLQLQJ
$JURZLQJERG\RIOLWHUDWXUHLQHUURUDQDO\VLVKDVVKRZQWKHIXQFWLRQDOLQGHSHQGHQFHRI
PDQ\ODQJXDJHUHODWHGUHVSRQVHV HJ%UDDP 3ROLQJ+DOO 6XQGEHUJ/DPDUUH
+ROODQG/XFLDQR0LJXHO3HWXUVGRWWLU&DUU 0LFKDHO3DUWLQJWRQ 
%DLOH\3HWXUVGRWWLU&DUU/HFKDJR $OPDVRQ6LGPDQ6LJDIRRV'RVV 
5HLFKOH7Z\PDQ:DWNLQV3DFN7HL[HLUD +RZDUG DQGVWLPXOXVFRQWURO
WUDQVIHUKDVEHHQUHSRUWHGIRUVHYHUDOYHUEDOIXQFWLRQV
6ZHHQH\.HUZLQ&DUERQH2¶%ULHQ=HFFKLQDQG-DQHFN\  WUDQVIHUUHGFRQWURORI
PDQGUHVSRQVHVE\FKLOGUHQGLDJQRVHGZLWK$6'IURPQRQYHUEDOVWLPXOL LHWDFW WRDSSURSULDWH
PRWLYDWLQJFRQGLWLRQV,QDQRWKHUVWXG\RIFKLOGUHQZLWK$6'*ROGVPLWK/H%ODQFDQG6DXWWHU
 UHSRUWHGVXFFHVVIXOWUDQVIHURIVWLPXOXVFRQWUROWREULQJWDFWUHVSRQVHVXQGHULQWUDYHUEDO
FRQWURO$VWXG\E\/HUPDQHWDO  LOOXVWUDWHVSDUWLFXODUO\ZHOOWKHYDOXHRIDQDO\]LQJ
ODQJXDJHUHVSRQVHVE\WKHLUFRQWUROOLQJYDULDEOHV,QWKLVVWXG\DFKLOGFRXOGWDFWEDE\EXWFRXOG
QRWPDQGEDE\QRUHPLWDQ\EDE\UHODWHGLQWUDYHUEDOUHVSRQVHV7KHVSHFLILFLW\RIWKLVW\SHRI
LQIRUPDWLRQE\YHUEDOIXQFWLRQFOHDUO\SLQSRLQWVWUHDWPHQWJRDOV HJWHDFKPDQGDQG
LQWUDYHUEDOUHVSRQVHVIRUWKHVDPHWRSRJUDSK\DVWKDWDFTXLUHGXQGHUWDFWFRQWURO 
&OLQLFDOFRPSHWHQFHZLWKVWLPXOXVFRQWUROWUDQVIHULVSDUWLFXODUO\XVHIXOLQLGHQWLI\LQJ
DSSURSULDWHLQWUDYHUEDOWDUJHWVDQGLQSURYLGLQJWUHDWPHQWWKDWDYRLGVLQGXFLQJHUURUVZLWKWKLV
FRPSOH[UHSHUWRLUH:KHUHDVWKHFRQGLWLRQVWKDWPLJKWHYRNHDVLQJOHPDQGWDFWRUHFKRLF
UHVSRQVHDUHIDLUO\VWUDLJKWIRUZDUGWKHYDULDEOHVFRQWUROOLQJDQ\SDUWLFXODULQWUDYHUEDOUHVSRQVH

 
SLP- ABA Volume 5, Issue No. 2 

FDQEHQXPHURXV)RULQVWDQFHDPDQGUHTXLUHVRQO\VXIILFLHQWPRWLYDWLQJFRQGLWLRQVWKHWDFWLV
HYRNHGE\DSDUWLFXODUQRQYHUEDOVWLPXOXVDQGDQHFKRLFLQJHQHUDOWHUPVLVVLPSO\DUHSHWLWLRQ
RIDQDXGLWRU\PRGHO2QWKHRWKHUKDQGDFRPSHWHQWVSHDNHUKDVDQLQWUDYHUEDOUHSHUWRLUHLQ
ZKLFKDVLQJOHUHVSRQVHLVXQGHUWKHFRQWURORIWHQVSHUKDSVKXQGUHGVRIDQWHFHGHQWVWLPXOLWKDW
HYRNHLW)RUH[DPSOHXQGHUDSSURSULDWHFRQGLWLRQVZHFRXOGHDVLO\HPLWWKHLQWUDYHUEDOUHVSRQVH
VDOVDWRVWLPXOLVXFKDVZKDW¶VWRUWLOODGLSFDOOHGOHW¶VFKRSWRPDWRHVWRPDNHVRPHZKDW
GDQFHFODVVDUH\RXWDNLQJDQGDQ\QXPEHURIRWKHUVDOVDUHODWHGTXHVWLRQV%XWOHDUQHUVZLWK
ZHDNVSHHFKODQJXDJHUHSHUWRLUHVZLOOEHFKDOOHQJHGE\DQ\RQHRIWKHVHVWLPXOLDQGDVZHKDYH
VXJJHVWHGVLPSO\WHDFKLQJDVHOHFWLRQWDFWHFKRLFRUPDQGUHVSRQVHLVXQOLNHO\WRUHVXOWLQDQ
H[WHQVLYHVDOVDUHSHUWRLUH
$EHKDYLRUDOLQWHUSUHWDWLRQRIWKHILQGLQJVGLVFXVVHGDERYHGLVVXDGHVXVIURPFRJQLWLYH
H[SODQDWLRQVRIGHILFLWVLGHQWLILHGWKURXJKRXUDVVHVVPHQWV%HFDXVHDOHDUQHUFDQSRLQWWRDGRJ
ZKHQDVNHGEXWFDQQRWQDPHDGRJZKHQKHVHHVRQHLVQRWZHOOH[SODLQHGE\VD\LQJWKDWKHGRHV
QRW\HWKDYHWKHFRQFHSWRIGRJ,QVWHDGZHFDQPRUHSURILWDEO\WXUQRXUDWWHQWLRQWRWKH
YDULDEOHVWKDWHYRNHYDULRXVGRJUHVSRQVHVWRSODQDQGFDUU\RXWDQHIIHFWLYHWUHDWPHQWSURJUDP
:HFDQQRWEODPHOHDUQHUVRUWKHLUGLVDELOLW\IRUHUURUUHVSRQVHVZKHQZHKDYH\HWWRDUUDQJH
DSSURSULDWHVWLPXOXVFRQGLWLRQVWKDWZLOOHYRNHDQGVWUHQJWKHQPRUHDFFXUDWHUHVSRQVHV,QGHHG
FOLQLFLDQVZKRXQGHUVWDQGKRZWRDVVHVVHUURUUHVSRQVHVLQWHUPVRIWKHLUFRQWUROOLQJYDULDEOHV
KDYHDGLVWLQFWDGYDQWDJHLQKHOSLQJOHDUQHUVLQFUHDVHWKHLUVSHHFKODQJXDJHVNLOOV 6XQGEHUJ 
0LFKDHO E\VWUHQJWKHQLQJDSSURSULDWHVWLPXOXVFRQGLWLRQVXQGHUZKLFKSDUWLFXODUWDUJHW
UHVSRQVHVRFFXU
)XQFWLRQDO$VVHVVPHQWLQ6SHHFK/DQJXDJH3DWKRORJ\
$IHZPRGHOV SDUWLDORUFRPSUHKHQVLYH DUHDYDLODEOHIRUIXQFWLRQDODVVHVVPHQWRIVSHHFK
ODQJXDJHGLVRUGHUV HJ%DNHUHWDO&DUU 'XUDQG*URZ.HOOH\5RDQH 6KLOOLQJVEXUJ
/HUPDQHWDO3DUWLQJWRQ 6XQGEHUJ6XQGEHUJQRWH6/3VLQWHUHVWHGLQ
IXQFWLRQDODVVHVVPHQWUHODWHGWRIHHGLQJGLVRUGHUVDUHUHIHUUHGWR3LD]]D 5RDQH DQGUHVHDUFKHUV
KDYHFDOOHGIRULQFUHDVHGDWWHQWLRQWRHQYLURQPHQWDOYDULDEOHVIRUDQDO\VLVRIFRPPXQLFDWLRQGLVRUGHUV
HJ+\WHU5RWK 6SHNPDQ +RZHYHULQJHQHUDO6/3VODUJHO\UHO\RQVWDQGDUGL]HG
OLQJXLVWLFEDVHGDVVHVVPHQWWRROVWRSURYLGHGLDJQRVWLFLQIRUPDWLRQZKLFKDUHXQOLNHO\WRLQIRUPRU
DGHTXDWHO\VXSSRUWHIIRUWVWRGHVLJQDSSURSULDWHDQGHIIHFWLYHLQWHUYHQWLRQSURJUDPV,WLVSHUKDSVQRW
VXUSULVLQJWKHQWKDWVSHHFKODQJXDJHSDWKRORJLVWVRIWHQWXUQWRFULWHULRQUHIHUHQFHGWHVWVWRGHYHORS
DSSURSULDWHLQWHUYHQWLRQWDUJHWVDOWKRXJKDEVHQWDQDO\VHVRIFDXVDOYDULDEOHVVXFKLQIRUPDOPHDVXUHV
DUJXDEO\RIIHUQRDGYDQWDJHRYHUWKHLUVWDQGDUGL]HGFRXQWHUSDUWVLQWHUPVRISURYLGLQJDEHKDYLRUDO
DQDO\VLVRIODQJXDJHSHUIRUPDQFHVZKLFKZHPDLQWDLQLVHVVHQWLDOIRUHIIHFWLYHWUHDWPHQWSODQQLQJ
'DWDEDVHRI6SHHFK/DQJXDJH7HVWV
$VDILUVWVWHSLQEULGJLQJWKLVJDSLWZRXOGEHKHOSIXOWRKDYHD³WUDQVODWLRQ´RIH[LVWLQJ
DVVHVVPHQWLQVWUXPHQWVUHLQWHUSUHWHGDFFRUGLQJWRWKHYHUEDOIXQFWLRQVWKDWDUHUHSUHVHQWHGE\WKHLUWHVW
LWHPV7RWKDWHQGZHH[DPLQHGDJURXSRIVSHHFKODQJXDJHWHVWV 7DEOHVWKURXJK GHVLJQHGWR
GLDJQRVHDSKDVLDDSUD[LDRIVSHHFKDUWLFXODWLRQDQGSKRQRORJLFDOGLVRUGHUVDQGODQJXDJHGLVRUGHUV
H[SUHVVLYHUHFHSWLYHRUERWK $VVHVVPHQWVIRURWKHUVSHHFKODQJXDJHGLVRUGHUVVXFKDVIOXHQF\ LH
VWXWWHULQJ YRLFHTXDOLW\DQGG\VSKDJLD VZDOORZLQJGLVRUGHUV ZHUHH[FOXGHGIURPWKHGDWDEDVH
7KHDVVHVVPHQWGDWDEDVHFRQVLVWVRIVWDQGDUGL]HGVSHHFKODQJXDJHWHVWVWKDWZHUHVHOHFWHG
IURPDPRQJWKRVHFRPPRQO\XVHGDWDXQLYHUVLW\EDVHGVSHHFKDQGODQJXDJHFOLQLF7KHFOLQLFLV
DVVRFLDWHGZLWKDJUDGXDWHSURJUDPIRU6/3ZKLFKLVDFFUHGLWHGE\$6+$¶V&RXQFLORQ$FDGHPLF
$FFUHGLWDWLRQLQ$XGLRORJ\DQG6SHHFK/DQJXDJH3DWKRORJ\7HVWVDUHDGPLQLVWHUHGWRLQGLYLGXDOV
UHIHUUHGIRUGLDJQRVWLFSXUSRVHVRULQWKHFDVHRIHVWDEOLVKHGFOLHQWVWKHWHVWVDUHJLYHQWRGRFXPHQW
SURJUHVVWRZDUGWKHUDSHXWLFJRDOV

 
SLP- ABA Volume 5, Issue No. 2 

7KHGDWDEDVHOLVWVWKHSUREDEOHFRQWUROOLQJYDULDEOHVIRUUHVSRQVHVUHTXLUHGLQHDFKWHVWRUVXE
WHVW)RUVRPHWHVWLWHPVLWLVOLNHO\WKDWPXOWLSOHVWLPXOLPXVWEHVHOIJHQHUDWHGWRHPLWD³FRUUHFW´
UHVSRQVH HJVHOIHFKRLFV 7KXVDPRUHFRPSOH[DQDO\VLVPD\EHQHHGHGLQZKLFKDGGLWLRQDOYDULDEOHV
DUHFRQVLGHUHG HJMRLQWFRQWURO/RZHQNURQHPHUJHQWUHODWLRQV6LGPDQVHHDOVR%DUQHV
+ROPHV%DUQHV+ROPHV &XOOLQDQDXWRFOLWLFV6NLQQHU 1HYHUWKHOHVVDEHJLQQLQJ
DQDO\VLVLVRIIHUHGOLVWLQJWKHWHVWLWHP¶VSUREDEOHFRQWUROOLQJYDULDEOHVIRURI6NLQQHU¶VYHUEDORSHUDQWV
PDQGHFKRLFWDFWLQWUDYHUEDODQGWH[WXDODQGIRUWKHQRQYHUEDORSHUDQWLQYROYLQJOLVWHQHUUHODWLRQV
FRPPRQO\UHIHUUHGWRDVUHFHSWLYHODQJXDJH
3URFHGXUHV
(DFKWHVW RUVXEWHVW ZDVFRGHGDFFRUGLQJWRWKHYHUEDORSHUDQWUHSUHVHQWHGE\WKHLQKHUHQWRU
LPSOLHGDQWHFHGHQWFRQGLWLRQVSUHVFULEHGE\WKHWHVWDQGE\DQ\RWKHULQIRUPDWLRQDYDLODEOHZLWKUHVSHFW
WRWKHIXQFWLRQDOXQLWUHSUHVHQWHGE\HDFKWHVWLWHP$QWHFHGHQWFRQGLWLRQVLQFOXGHGH[DPLQHU¶V
LQVWUXFWLRQV HJSRLQWWRVD\ZKDW,VD\WHOOPHDERXW PDWHULDOVDOORZHGSURPSWVDQGDFWXDORU
LPSOLHGPRWLYDWLQJRSHUDWLRQV /DUDZD\HWDO0LFKDHO WRHYRNHDSSURSULDWH
UHVSRQVHV,QVRPHDVVHVVPHQWVDOORZHGSURPSWVFKDQJHGWKHRSHUDQWEHLQJWHVWHGE\SURYLGLQJ
DGGLWLRQDOVWLPXOLWKDWFRXOGH[HUWFRQWURORYHUWKHUHVSRQVH7DEOHVWKURXJKVSHFLI\WKHVHVLWXDWLRQV
ZKHQWKH\FRXOGEHLGHQWLILHGE\WKHWHVWSURWRFRO ZLWKWKHOHWWHU3 SURPSW XQGHUWKHDSSURSULDWH
RSHUDQWFROXPQLQGLFDWLQJDSRWHQWLDOFKDQJHLQRUDGGLWLRQWRWKHEDVLFRSHUDQWEHLQJWHVWHG
2WKHUIDFWRUVWKDWLQIRUPHGWKHFRGLQJSURFHGXUHLQFOXGHGFRQWUROOLQJYDULDEOHVWKDWZHUHRQO\
LPSOLHGEXWQRWGLUHFWO\WHVWHGGXHWRWKHQDWXUHRIWKHWHVW LHLQIRUPDQWDVVHVVPHQWVVHH7DEOH 
6XFKLQGLUHFWDVVHVVPHQWVDUHVRGHVLJQDWHGLQWKH&RPPHQWVFROXPQ
(DFKWHVWRUFRPSRQHQWVXEWHVWZDVFRGHGWZLFHRQFHE\WKHILUVWDXWKRUDERDUGFHUWLILHG
EHKDYLRUDQDO\VWDQGVSHHFKODQJXDJHSDWKRORJLVWDQGDJDLQE\WKHVHFRQGDXWKRUDJUDGXDWHOHYHO
VSHHFKODQJXDJHSDWKRORJ\VWXGHQWZLWKDQXQGHUJUDGXDWHGHJUHHLQEHKDYLRUDQDO\VLV,QWKHFDVHRI
GLVDJUHHPHQWDQLQGHSHQGHQWEHKDYLRUDQDO\VWUHYLHZHGLWHPVXQWLODJUHHPHQWZDVUHDFKHG
&RGH'HILQLWLRQV
7HVWLWHPVZHUHFRGHGDFFRUGLQJWR6NLQQHU¶V  ILYHEDVLFYHUEDORSHUDQWV PDQGWDFW
LQWUDYHUEDOHFKRLFWH[WXDO RULQWKHFDVHRIQRQYHUEDORSHUDQWVDVUHFHSWLYHLWHPV7REHSUHFLVHWKH
WHVWLWHPVWKHPVHOYHVZHUHQRWRSHUDQWVEXWWKH\ZHUHFRGHGDVVXFKEHFDXVHRIWKHW\SHRIIXQFWLRQDO
XQLWWKDWZRXOGH[LVWLIDFRUUHFWUHVSRQVHWRWKHWHVWLWHPRFFXUUHGDQGZDVUHLQIRUFHG,WVKRXOGEHQRWHG
KRZHYHUWKDWLQPDQ\JHQHUDOWHVWLQJVLWXDWLRQVUHLQIRUFHPHQWLVVSHFLILFDOO\SURVFULEHG SUHVXPDEO\WR
PDLQWDLQWHVWLQWHJULW\ )RUWKLVUHDVRQQRVXFKIXQFWLRQVDUHDVVXPHGWREHHVWDEOLVKHGWKURXJKWKH
WHVWLQJSURFHGXUHZLWKWKHDVVHVVPHQWVLQRXUGDWDEDVH)RUWKHH[DPLQHUSUDFWLWLRQHUDGYDQWDJHVRI
ZLWKKROGLQJUHLQIRUFHPHQWGXULQJDVVHVVPHQWVKRXOGEHFDUHIXOO\HYDOXDWHGDVVRPHVWXGLHVKDYHVKRZQ
LPSURYHGWHVWSHUIRUPDQFHXQGHUUHLQIRUFHPHQWFRPSDUHGWRQRQUHLQIRUFHPHQWFRQGLWLRQV HJ(GOXQG
.RHJHOHWDO 
0DQG$WHVWLWHPZDVFRGHGPDQG 0 LIWKHUHZDVHYLGHQFHWKDWWKHLWHPHYDOXDWHGUHVSRQVHV
XQGHUWKHFRQWURORIDPRWLYDWLQJRSHUDWLRQRULIDFRQVHTXHQFHSURYLGHGRULPSOLHGZDVUHVSRQVH
VSHFLILF HJFKLOGVD\VFRRNLHDQGJHWVFRRNLH 
(FKRLF,WHPVFRGHGHFKRLF ( SUHVHQWHGYHUEDOVWLPXOLIRUZKLFKDFRUUHFWUHVSRQVHZRXOGEH
YHUEDOZLWKSRLQWWRSRLQWFRUUHVSRQGHQFH)RUH[DPSOHDFRUUHFWHFKRLFUHVSRQVHWRWKHLQVWUXFWLRQ³6D\
µZKDW¶V\RXUQDPH¶´ZRXOGEHZKDW¶V\RXUQDPH
7DFW$WDFW 7 FRGHGHVLJQDWHGLWHPVLQZKLFKDQRQYHUEDOVWLPXOXV HJSLFWXUHREMHFW ZDV
SUHVHQWHGWRHYRNHDYHUEDOUHVSRQVH)RUH[DPSOHDQLWHPZRXOGEHFRGHG7LILWLQVWUXFWHGWKHH[DPLQHU
WRVKRZDSLFWXUHRIDKRXVHZLWKKRXVHEHLQJWKHFRUUHFWUHVSRQVH1RWHKRZHYHUWKDWLQERWK
DVVHVVPHQWDQGLQVWUXFWLRQDOVLWXDWLRQVLWLVDIUHTXHQWSUDFWLFHWRDGGWKHTXHVWLRQZKDW¶VWKLVZKHQ

 
SLP- ABA Volume 5, Issue No. 2 

SUHVHQWLQJSLFWXUHVRUREMHFWVWRWHVW³ODEHOV´,QVXFKFDVHVDUHVSRQVHLVPRUHDFFXUDWHO\GHVFULEHGDV
EHLQJXQGHUERWKWDFW KRXVHSLFWXUH DQGLQWUDYHUEDO ZKDW¶VWKLV VWLPXOXVFRQWURO,WHPVZHUHDOVRFRGHG
7LIDQRQYHUEDOVWLPXOXVZDVJLYHQWRHYRNHYHUEDOUHVSRQVHVUHJDUGLQJDWWULEXWHVVXFKDVVWLPXOXV
IHDWXUHIXQFWLRQRUFODVV HJDFRUUHFWDQVZHUZRXOGEHERXQFHRUEHDFKLQVWHDGRIEDOO 
,QWUDYHUEDO$WHVWLWHPZDVFRGHGLQWUDYHUEDO ,9 LILWFRQWDLQHGDYHUEDOVWLPXOXVWRHYRNHD
YHUEDOUHVSRQVHWKDWGLGQRWPDWFK UHSHDW WKHH[DPLQHU¶VPRGHO)RUH[DPSOHLIWKHYHUEDOVWLPXOXVZDV
ZKDW¶V\RXUQDPHDFRUUHFWUHVSRQVHXQGHUWKHFRQWURORILQWUDYHUEDOFRQWLQJHQFLHVPLJKWEH5LOH\,WHPV
ZHUHDOVRFRGHG,9LIDYHUEDOVWLPXOXVZDVSUHVHQWHGWRHYRNHYHUEDOUHVSRQVHVUHJDUGLQJVWLPXOXV
DWWULEXWHVVXFKDVIHDWXUHIXQFWLRQRUFODVV HJZKHHOULGHLQRUYHKLFOHLQVWHDGRIFDU 
7H[WXDO$WHVWLWHPZDVFRGHGWH[WXDO 7[ LIWKHDVVHVVPHQWLQVWUXFWHGWKHH[DPLQHUWRSUHVHQWD
ZULWWHQVWLPXOXVDQGDFRUUHFWUHVSRQVHUHTXLUHGUHDFWLQJWRWKHZULWWHQPDWHULDOYHUEDOO\ LHUHDGLQJ 
,WHPVZHUHIXUWKHUGHVLJQDWHGLQWUDYHUEDO ,9 LIUHDGLQJFRPSUHKHQVLRQZDVUHTXLUHG
5HFHSWLYH,WHPVDVNLQJWKHH[DPLQHUWRSUHVHQWDQLQVWUXFWLRQLQZKLFKDFRUUHFWUHVSRQVHZRXOG
EHQRQYHUEDOZHUHFRGHGDVUHFHSWLYH 5 ([DPSOHVRI5FRGHGLWHPVDUHSRLQWWRFXSJLYHPHWKH
SHQFLODQGVKRZPHMXPSLQJ,WHPVZHUHDOVRFRGHG5LIDFRQGLWLRQDOGLVFULPLQDWLRQZDVUHTXLUHG
UHJDUGLQJVWLPXOXVDWWULEXWHV HJSRLQWWRWKHRQHWKDWKDVDWDLOLQVWHDGRISRLQWWRGRJ 1RWHWKDWRWKHU
RSHUDQWVDUHLPSOLFDWHGLQFRQGLWLRQDOGLVFULPLQDWLRQVDQGWKHVHDUHGHVLJQDWHGLQWKH7DEOHV HJHFKRLF
WDFW 
)LQDOO\LWHPVWKDWPD\KDYHUHTXLUHGPXOWLSOHFRQWUROOLQJYDULDEOHVDUHVRGHVLJQDWHGZLWKWKH
SUREDEOHRSHUDQWVPDUNHGZLWKLQSDUHQWKHVHV
)ROORZLQJWKHGDWDEDVH 7DEOHVEHORZ ZHSUHVHQWDVXPPDU\LQZKLFKZHGLVFXVVSDWWHUQV
IRXQGLQRXUDQDO\VLVDORQJZLWKLPSOLFDWLRQVIRUIXWXUHZRUNRQWKLVWRSLF



7DEOH1H[W3DJH

 
SLP- ABA Volume 5, Issue No. 2

Table 2. Aphasia Tests

177
SLP- ABA Volume 5, Issue No. 2

Table 3. Apraxia Tests

178
SLP- ABA Volume 5, Issue No. 2 


7DEOH$UWLFXODWLRQ3KRQRORJ\7HVWV

 
SLP- ABA Volume 5, Issue No. 2

Table 5. Receptive-Expressive Language Tests

180
SLP- ABA Volume 5, Issue No. 2

Table 6. Expressive Language Tests

181
SLP- ABA Volume 5, Issue No. 2 


7DEOH5HFHSWLYH/DQJXDJH7HVWV


5HVXOWV'LVFXVVLRQDQG&RQVLGHUDWLRQVIRUWKH)XWXUH
,QIRUPDWLRQIURPWKHVSHHFKODQJXDJHDVVHVVPHQWGDWDEDVHSRLQWVWRVHYHUDOLVVXHVRILQWHUHVWIRU
IXWXUHLQYHVWLJDWLRQV
)LUVWDQDO\VLVRIWKHGDWDEDVHUHYHDOHGDVWULNLQJRPLVVLRQLQWUDGLWLRQDOVSHHFKODQJXDJHWHVWV
7KHPDQGIXQFWLRQZLGHO\UHJDUGHGDVWKHHDUOLHVWYHUEDORSHUDQWHVWDEOLVKHG %LMRX %DHU
6FKOLQJHU6XQGEHUJ DQGRIJUHDWHVWEHQHILWWRVSHDNHUV 6NLQQHU ZDVDVVHVVHGLQ
RQO\WZRRIWKHGDWDEDVHWHVWV 3/65((/%]RFK/HDJXH %URZQ 'HVSLWHWKHLU
LQFOXVLRQWKHPDQGIXQFWLRQLQWKHVHWHVWVZDVRQO\LQGLUHFWO\HYDOXDWHG LHLQIRUPDQWUHSRUWVXFKDV
SDUHQWRUFDUHJLYHUUHVSRQVHVZDVHLWKHUUHTXLUHGRUDOORZHG 7KLVPHDQVWKDWUHOHYDQWPRWLYDWLQJ
FRQGLWLRQVIRUWKHRFFXUUHQFHRIPDQGVZHUHQRWGLUHFWO\DUUDQJHGRUHYDOXDWHGIRUWKHLUHYRFDWLYHHIIHFWV
0RUHRYHULWLVRISDUWLFXODUFRQFHUQWKDWPDQGFRQWLQJHQFLHVZHUHDEVHQWIURPWKHWKUHH
DVVHVVPHQWVIRUDSKDVLDDQDFTXLUHGQHXURORJLFDOGLVRUGHUWKDWRIWHQLVSURIRXQGO\GDPDJLQJWRVSHHFK
ODQJXDJHUHSHUWRLUHV,WZRXOGVHHPWKDWRIDOOWKHYHUEDOIXQFWLRQVSRWHQWLDOO\LPSDLUHGLQDSKDVLDWKH
PDQGZRXOGEHRIIRUHPRVWLPSRUWDQFHWRHYDOXDWHDQGLIZHDNWRUHHVWDEOLVKTXLFNO\&ROOHFWLYHO\
DSKDVLDWHVWVLQWKHGDWDEDVHUHSUHVHQWDWRWDORIUHVSRQVHRSSRUWXQLWLHVIRUSHUVRQVZLWKDSKDVLD\HW
WKHWHVWVFRQWDLQHGQRPDQGFRQWLQJHQFLHVWRHYDOXDWHWKLVFULWLFDOO\LPSRUWDQWUHSHUWRLUHIRUWKHVH
LQGLYLGXDOV%HKDYLRUDOUHVHDUFKHUVKDYHEHJXQWRRIIHUDOWHUQDWLYH LHQRQWUDGLWLRQDO PRGHOVIRUWKH
GHVFULSWLRQRIDSKDVLDGHILFLWV %DNHUHWDO EXWIXQFWLRQDOHYDOXDWLRQRIWKLVFULWLFDOVNLOOLQWKH
UHSHUWRLUHVRIDFWXDOLQGLYLGXDOVDSSHDUVXQDGGUHVVHGLQWKLVSRSXODWLRQ
1H[WDQDO\VLVRIWKHDVVHVVPHQWGDWDEDVHEURXJKWWKHLPSRUWDQFHRIVWLPXOXVFRQWUROLQWRFOHDUHU
IRFXVRQDWOHDVWWZRLVVXHVUHODWHGWRLWVLGHQWLILFDWLRQ8QOLNHDVVHVVPHQWVLQZKLFKFRQWUROOLQJVWLPXOL
DUHVSHFLILHGE\WKHWHVWLWHPV HJWDFWPDQG WUDGLWLRQDOVSHHFKODQJXDJHWHVWVPD\XQLQWHQWLRQDOO\
UHTXLUHPXOWLSOHVWLPXOXVFRQWUROIRUFRUUHFWUHVSRQGLQJ$WRWKHUWLPHVWKH\PD\LQDGYHUWHQWO\SURYLGH
PXOWLSOHVWLPXOL LHSURPSWV ZKHQLWLVXQGHVLUDEOHWRGRVR$VDUHVXOWWHVWLWHPVPD\EHKDUGHURU
HDVLHUWKDQWKH\DUHPHDQWWREHREVFXULQJWKHUHSHUWRLUHSXUSRUWHGO\EHLQJWHVWHG7KDWLVOHDUQHUVZRXOG

 
SLP- ABA Volume 5, Issue No. 2 

EHGLVDGYDQWDJHGLIWKH\GRQRWKDYHWKHUHTXLVLWHOHDUQLQJKLVWRU\WRUHVSRQGFRUUHFWO\ZKHQGRLQJVR
UHTXLUHVFRQWUROE\PRUHWKDQRQHLQGHSHQGHQWYDULDEOHRUZKHQFRQYHUVHO\PXOWLSOHVWLPXOLPXVWEHLQ
SODFHIRUWKHOHDUQHUWRUHVSRQGFRUUHFWO\WRLWHPVLQWHQGHGWRWHVWDVLQJOHIXQFWLRQ
6HYHUDODVVHVVPHQWVLQWKHGDWDEDVHLOOXVWUDWHGWKLVLVVXHLQZKLFKLWVHHPHGWKDWVHYHUDOVWLPXOL
PXVWRUFRXOGFRQYHUJHWRHYRNHDFRUUHFWUHVSRQVHWKHUHE\ULVNLQJFRQIRXQGHGWHVWUHVXOWV)RU
H[DPSOHVRPHDVVHVVPHQWV HJ72/'3 UHTXLUHWKHOHDUQHUWROLVWHQWRDZRUGDQGWKHQUHSHDWRQO\
SDUWRILW HJVD\µEDVHEDOO¶ZLWKRXWVD\LQJµEDVH¶ $OWKRXJKWKLVFOHDUO\HYDOXDWHVHFKRLFFRQWURORWKHU
UHSHUWRLUHVPD\EHUHTXLUHG HJLQWUDYHUEDODXWRFOLWLF6FKOLQJHU6NLQQHU SDUWLFXODUO\
VLQFHWKHFRUUHFWUHVSRQVHPXVWQHFHVVDULO\RPLWSDUWRIWKHHFKRLFPRGHODVDVHOIHGLWLQJUHVSRQVH
0XOWLSOHFRQWUROZDVDOVRLPSOLFDWHGLQVLWXDWLRQVZKHUHLQVWUXFWLRQVWRWKHOHDUQHUVHHPHG
DPELJXRXV HJSURPSWLQJDSRLQWLQJUHVSRQVHZLWKWHOOPH3/6 ,QWKLVFDVHDOWKRXJKDSRLQWLQJ
UHVSRQVHLVSUHVXPDEO\VXIILFLHQWWREHVFRUHGDVFRUUHFWDOHDUQHUZKRQRWRQO\SRLQWVEXWDOVRUHVSRQGV
YHUEDOO\ LHLW¶VWKDWRQH PD\KDYHDPRUHVRSKLVWLFDWHGUHSHUWRLUHWKDQDOHDUQHUZKRRQO\SRLQWVWR
WKHDQVZHU,IVRWKLVLQIRUPDWLRQZRXOGEHLPSRUWDQWIRUWUHDWPHQWSODQQLQJ0XOWLSOHFRQWUROUHTXLUHG
IRUFRUUHFWUHVSRQGLQJZDVDOVRHYLGHQWLQDVVHVVPHQWLWHPVZKHUHWKHDFWXDOIXQFWLRQEHLQJHYDOXDWHG
FKDQJHGDVDUHVXOWRISURPSWVDOORZHGGXULQJFRUUHFWLRQSURFHGXUHV)RUH[DPSOHWKH*ROGPDQ)ULVWRH
7HVWRI$UWLFXODWLRQ *)7$*ROGPDQ )ULVWRH FRQVLVWVRIDVNLQJZKDW¶VWKLVZKLOHVKRZLQJ
SLFWXUHVRQHDWDWLPH(DFKUHVSRQVHLVWKHQHYDOXDWHGIRUSRLQWWRSRLQWFRUUHVSRQGHQFHZLWKWKH
SKRQHPLFHOHPHQWVRIWKH XQVSRNHQ PRGHO$VVXFKWKLVWHVWHYDOXDWHVDWDFWUHSHUWRLUH PRUHSUHFLVHO\
DWDFWLQWUDYHUEDOUHSHUWRLUH +RZHYHULIQRUHVSRQVHRFFXUVDQHFKRLFSURPSWLVDOORZHG HJVD\
µKRXVH¶ 7KXVWKHWDVNFKDQJHVIURPRQHUHTXLULQJWDFWLQWUDYHUEDOFRQWUROWRRQHWKDWUHTXLUHVHFKRLF
RQO\FRQWURO+RZHYHUEHFDXVHWKHSLFWXUHVDUHSUHVXPDEO\VWLOOSUHVHQWWKHFOLQLFLDQFDQQRWEHFHUWDLQ
ZKHWKHUWKHUHLVSDUWLDOWDFWFRQWURORYHUDQHFKRLFUHVSRQVHVKRXOGRQHRFFXU
7KHVHH[DPSOHVLOOXVWUDWHWKHGLIILFXOW\LQWU\LQJWRDVVHVVVSHHFKODQJXDJHVNLOOVZLWK
DVVHVVPHQWVWKDWVSHFLI\RQO\WRSRJUDSK\DQGQRWFRQWLQJHQFLHVUHTXLUHGIRUDFRUUHFWUHVSRQVH7KDWLV
LQGLYLGXDOVZLWKRXWWKHUHTXLVLWHOHDUQLQJKLVWRU\RUWKRVHZLWKREYLRXVLPSDLUPHQW HJDSKDVLD PD\
KDYHRQO\SDUWRIWKHVNLOOVQHFHVVDU\WRSHUIRUPZHOORQWKHVHDVVHVVPHQWVDQGZLWKRXWDFOHDU
LGHQWLILFDWLRQRIWKHYDULDEOHVUHTXLUHGIRUFRUUHFWUHVSRQGLQJWKHOHDUQHU¶VUHSHUWRLUHPD\DSSHDUPRUHRU
OHVVGHILFLHQW7KHUHIRUHDVVHVVPHQWVWRLGHQWLI\WKHUDS\LQWHUYHQWLRQWDUJHWVQHHGWRFOHDUO\LGHQWLI\  
WKHVWLPXOXVFRQWUROIRUYDULRXVRSHUDQWVWKDWGHILQHDFRPSHWHQWVSHHFKODQJXDJHUHSHUWRLUHDQG  WKH
IRXQGDWLRQDOFXPXODWLYHUHSHUWRLUHVWKDWPD\QHHGWREHLQSODFH HJWDFWOLVWHQHU WRVXSSRUWPRUH
FRPSOH[UHVSRQGLQJ HJLQWUDYHUEDO 7KLVH[SOLFDWLRQVKRXOGWDNHLQWRFRQVLGHUDWLRQUHFHQWUHVHDUFKDQG
VXSSRUWLQJOLWHUDWXUHUHJDUGLQJFRPSOH[VSHHFKODQJXDJHVNLOOVVXFKDVQDPLQJDQGFDWHJRUL]DWLRQ HJ
0LJXHOHWDO3HWXUVGRWWLUHWDO HTXLYDOHQFH 6LGPDQ DQGRWKHUGHULYHGUHODWLRQV
HJ5RVDOHV 5HKIHOGW 
6SHHFKODQJXDJHDVVHVVPHQWV\LHOGLQJDIXQFWLRQDOKLHUDUFK\RIVNLOOGHILFLWVKDYHWKHDGYDQWDJH
RIEHLQJPRUHSUHVFULSWLYHIRUVXEVHTXHQWLQWHUYHQWLRQWKDQDUHWKRVHWKDW\LHOGVWUXFWXUDORQO\
GHVFULSWLRQVRIHUURUV %DNHUHWDO/HUPDQHWDO6XQGEHUJHWDO 7KLVLVEHFDXVHWKH
LQGHSHQGHQWYDULDEOHVJRYHUQLQJDQGWKXVFUXFLDOWREHKDYLRUFKDQJHDUHQRWW\SLFDOO\DVVHVVHG
GHVFULEHGRURWKHUZLVHDGGUHVVHGLQWUDGLWLRQDOVSHHFKODQJXDJHDVVHVVPHQWV DOWKRXJKWKHUHLVHYLGHQFH
RIHPHUJLQJLQWHUHVWLQWKHFRQWH[WXDOFRPPXQLFDWLRQHQYLURQPHQWHJ+\WHU 2QHUHFHQWO\
SXEOLVKHGDVVHVVPHQWRIYHUEDOIXQFWLRQVDQGUHODWHGODQJXDJHVNLOOVLVWKH9HUEDO%HKDYLRU0LOHVWRQHV
$VVHVVPHQWDQG3ODFHPHQW3URJUDP 9%0$336XQGEHUJ ZKLFKSURYLGHVFOLQLFLDQVZLWKD
KLHUDUFK\RIVNLOOVGHYHORSPHQWDOO\UHIHUHQFHGIURPDJHV±PRQWKV6NLOOVDUHEDODQFHGDFURVV
WKHYHUEDOIXQFWLRQV HJPDQGWDFWLQWUDYHUEDOHFKRLF DQGUHODWHGDUHDV HJVRFLDOVNLOOVOLQJXLVWLF
VNLOOVUHDGLQJ LQRUGHUWRDYRLGWKHURWHUHVSRQGLQJWKDWFDQRFFXUZKHQRXWRIVHTXHQFHVNLOOVDUHWDXJKW
HJLQWUDYHUEDO ZLWKRXWKDYLQJILUVWHVWDEOLVKHGWKHUHTXLVLWHVXSSRUWLQJIXQFWLRQVVXFKDVWDFWDQG
OLVWHQHUUHSHUWRLUHV DOVRVHH*UHHU 5RVV 7RDGGUHVVEHKDYLRUVWKDWPD\LQWHUIHUHZLWKVNLOO
DFTXLVLWLRQDQDGGLWLRQDOFRPSRQHQWWHVWWKH9%0$33%DUULHUV$VVHVVPHQWLGHQWLILHVSRWHQWLDO

 
SLP- ABA Volume 5, Issue No. 2 

OHDUQLQJEDUULHUVWRZKLFKHQYLURQPHQWDO LHEHKDYLRUDO VROXWLRQVFDQEHDSSOLHGLQRUGHUWRPD[LPL]H
LQVWUXFWLRQDOHIILFLHQF\
)XWXUHUHVHDUFKQHHGVWRHVWDEOLVKWKHFOLQLFDOHIILFDF\RIWKH9%0$33DQGRWKHUIXQFWLRQEDVHG
VSHHFKODQJXDJHDVVHVVPHQWV HJ3DUWLQJWRQ 6XQGEHUJ DVWKH\EHFRPHDYDLODEOH,QWKH
PHDQWLPHDVVHVVPHQWVRIWKLVVRUWRIIHULPPHGLDWHFOLQLFDOEHQHILWRYHUQRQIXQFWLRQDOVSHHFKODQJXDJH
WHVWVEHFDXVHWKH\DOORZFOLQLFLDQVWRLGHQWLI\VSHDNHUOLVWHQHUGHILFLWVDFFRUGLQJWRGHYHORSPHQWDOQRUPV
LQDFXUULFXODUVHTXHQFHDQGDWWKHVDPHWLPHWKH\SLQSRLQWWKHHQYLURQPHQWDOYDULDEOHVWKDWFXUUHQWO\
FRQWUROWKHVHUHVSRQVHVHUURUV%\LGHQWLI\LQJWKHYDULDEOHVRIZKLFKHUURUVDUHDIXQFWLRQDVVHVVPHQWV
OLNHWKH9%0$33DOVRKLJKOLJKWWKHVWLPXOLWKDWGRQRW\HWFRQWUROGHVLUHGVSHHFKODQJXDJHUHVSRQVHV
WKXVLQWHUYHQWLRQVFDQEHGHVLJQHGWKDWLQFRUSRUDWHVWLPXOXVFRQWUROWUDQVIHUSURFHGXUHVIRUPRUH
HIIHFWLYHDQGHIILFLHQWOHDUQLQJ3UDFWLWLRQHUVZKRKDYH\HWWRDFFHVVIXQFWLRQEDVHGVSHHFKODQJXDJH
DVVHVVPHQWVFDQQHYHUWKHOHVVEHJLQWRDQDO\]HWKHLUH[LVWLQJHYDOXDWLRQWRROV VRPHRIZKLFKPD\DSSHDU
LQWKHGDWDEDVH IRUWKHOLNHO\IXQFWLRQVUHSUHVHQWHGE\WKHVHLQVWUXPHQWV7KLVILUVWVWHSZRXOGEH
LQYDOXDEOHIRULQIRUPLQJWUHDWPHQWVE\DVVLVWLQJWKHUDSLVWVLQWKHVHOHFWLRQDQGVHTXHQFLQJRIDSSURSULDWH
WDUJHWVIRUWKHLULQWHUYHQWLRQV
$GGLWLRQDOUHVHDUFKLVQHHGHGWRIXUWKHUHOXFLGDWHVSHDNHUOLVWHQHUIXQFWLRQV)RUH[DPSOH3RRQ
DQG%XWOHU  VXJJHVWWKHUHPD\EHGHYHORSPHQWDOLQIOXHQFHVRQLQWUDYHUEDOUHODWLRQV HJGLIIHUHQW
DFTXLVLWLRQVWDJHVIRUKRZZKHQZKHUH $VQRWHGHDUOLHU%DNHUHWDO  RIIHUDQLQLWLDOIXQFWLRQ
EDVHGWD[RQRP\IRUHYDOXDWLQJVSHDNHUOLVWHQHUUHSHUWRLUHVIROORZLQJQHXURORJLFDOLPSDLUPHQW LH
DSKDVLD /HUPDQDQGFROOHDJXHV  GLVFXVVSRVLWLYHWUHDWPHQWLPSOLFDWLRQVE\LQFOXGLQJH[LVWLQJ
UHVSRQVHVLQIXQFWLRQDODVVHVVPHQWVRIWKHYHUEDOUHSHUWRLUH<HVQRUHVSRQGLQJKDVEHHQDVVHVVHGDQG
WUDLQHGDFURVVWKHYHUEDOIXQFWLRQV 6KLOOLQJVEXUJ.HOOH\5RDQH.LVDPRUH %URZQ IROORZLQJ
GHPRQVWUDWLRQVWKDWWKHVHUHVSRQVHVGLGQRWJHQHUDOL]HIURPRQHRSHUDQW HJPDQG WRDQRWKHU HJWDFW 
ZLWKRXWVSHFLILFWUDLQLQJ)LQDOO\&DUUDQG)LUWK  FDOOIRUUHVHDUFKHUVDQGSUDFWLWLRQHUVDOLNHWR
SXEOLVKUHVXOWVRILQGLYLGXDOWUHDWPHQWVEDVHGRQ6NLQQHU¶V  DQDO\VLVRIYHUEDOEHKDYLRU.H\WRWKLV
ERG\RIHYLGHQFHZRXOGEHWKHFRQWULEXWLRQVRIVSHHFKSDWKRORJLVWVLQZKLFKVSHHFKODQJXDJH
DVVHVVPHQWVDQGFOLQLFDOSURJUHVVUHSRUWVLQFOXGHDQDO\VHVRILQGHSHQGHQWYDULDEOHV LHIXQFWLRQV WKDW
DUHUHVSRQVLEOHIRUWRSRJUDSKLHVRILQWHUHVW
7KHUHLVPXFKWREHH[SODLQHGLQYHUEDOEHKDYLRU 6XQGEHUJ DQGPXFKLVVWLOOVSHFXODWLYH
3DOPHU 1HYHUWKHOHVVWKHXWLOLW\RIRXUDVVHVVPHQWVZLOOEHVWUHQJWKHQHGE\DPRUHWKRURXJK
DFFRXQWLQJRIWKHREVHUYDEOHYDULDEOHVWKDWFRQWUROVSHHFKODQJXDJHEHKDYLRU,ILWLVWUXHWKDW³OHDUQLQJ
RFFXUVEHVWZKHQHPEHGGHGZLWKLQIXQFWLRQDODFWLYLWLHV´ 5RZODQG 6FKZHLJHUWS WKHQ
DVVHVVPHQWWKDWLQFOXGHVDIXQFWLRQDODFFRXQWLVHVVHQWLDO
5HIHUHQFHV
(Asterisk indicates references in assessment database)
$PHULFDQ6SHHFK/DQJXDJH+HDULQJ$VVRFLDWLRQ  'HILQLWLRQVRIFRPPXQLFDWLRQGLVRUGHUVDQG
YDULDWLRQV5HWULHYHG$SULOKWWSZZZDVKDRUJGRFVKWPO53KWPO
$PHULFDQ6SHHFK/DQJXDJH+HDULQJ$VVRFLDWLRQ  'LUHFWRU\RIVSHHFKODQJXDJHSDWKRORJ\
DVVHVVPHQWLQVWUXPHQWV5HWULHYHG'HFHPEHUKWWSZZZDVKDRUJDVVHVVPHQWVDVS[
$XVWLQ-/  +RZWRGRWKLQJVZLWKZRUGV QGHG ,Q-28UPVRQDQG06ELVD (GV +RZWR
GRWKLQJVZLWKZRUGV&DPEULGJH+DUYDUG8QLYHUVLW\3UHVV
%DNHU-&/H%ODQF/$ 5DHW]3%  $EHKDYLRUDOFRQFHSWXDOL]DWLRQRIDSKDVLD7KH
$QDO\VLVRI9HUEDO%HKDYLRU
%DQNVRQ1: %HUQWKDO-(  %DQNVRQ%HUQWKDOWHVWRISKRQRORJ\&KLFDJR,/$SSOLHG
6\PEROL[

 
SLP- ABA Volume 5, Issue No. 2 

%DUQHV+ROPHV'%DUQHV+ROPHV< &XOOLQDQ9  5HODWLRQDOIUDPHWKHRU\DQG6NLQQHU¶V
9HUEDO%HKDYLRU$SRVVLEOHV\QWKHVLV7KH%HKDYLRU$QDO\VW
%DWHV(  /DQJXDJHLQFRQWH[W6WXGLHVLQWKHDFTXLVLWLRQRISUDJPDWLFV1HZ<RUN$FDGHPLF
3UHVV
%LMRX6: %DHU'0  &KLOGGHYHORSPHQW9RO8QLYHUVDOVWDJHRILQIDQF\1HZ<RUN
$SSOHWRQ&HQWXU\&URIWV
%RXUJHRLV06  (YDOXDWLQJPHPRU\ZDOOHWVLQFRQYHUVDWLRQVZLWKSHUVRQVZLWKGHPHQWLD
-RXUQDORI6SHHFKDQG+HDULQJ5HVHDUFK
%UDDP6- 3ROLQJ$  'HYHORSPHQWRILQWUDYHUEDOEHKDYLRULQPHQWDOO\UHWDUGHGLQGLYLGXDOV
WKURXJKWUDQVIHURIVWLPXOXVFRQWUROSURFHGXUHV&ODVVLILFDWLRQRIYHUEDOUHVSRQVHV$SSOLHG
5HVHDUFKLQ0HQWDO5HWDUGDWLRQ
%URZQHOO5  5HFHSWLYHRQHZRUGSLFWXUHYRFDEXODU\WHVW1RYDWR&$$FDGHPLF7KHUDS\
%]RFK.5/HDJXH5 %URZQ9/  5HFHSWLYHH[SUHVVLYHHPHUJHQWODQJXDJHWHVW UGHG 
$XVWLQ7;3UR(G
&DUU(* 'XUDQG90  5HGXFLQJEHKDYLRUSUREOHPVWKURXJKIXQFWLRQDOFRPPXQLFDWLRQ
WUDLQLQJ-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV
&DUU-( )LUWK$0  7KHYHUEDOEHKDYLRUDSSURDFKWRHDUO\DQGLQWHQVLYHEHKDYLRUDO
LQWHUYHQWLRQIRUDXWLVP$FDOOIRUDGGLWLRQDOHPSLULFDOVXSSRUW-RXUQDORI(DUO\,QWHQVLYH
%HKDYLRUDO,QWHUYHQWLRQ
&DUURZ:RROIRON7  7HVWIRUDXGLWRU\FRPSUHKHQVLRQRIODQJXDJH UGHG $XVWLQ7;3UR(G
&DWDQLD$&  /HDUQLQJ WKHG 8SSHU6DGGOH5LYHU1-3UHQWLFH+DOO
&DWDQLD$&  :RUGVDVEHKDYLRU7KH$QDO\VLVRI9HUEDO%HKDYLRU
&KRPVN\1  $VSHFWVRIWKHWKHRU\RIV\QWD[&DPEULGJH0$0,73UHVV
&KRPVN\1  5XOHVDQGUHSUHVHQWDWLRQV1HZ<RUN&ROXPELD8QLYHUVLW\3UHVV
&RRSHU-2+HURQ7( +HZDUG:/  $SSOLHGEHKDYLRUDQDO\VLV QGHG 8SSHU6DGGOH
5LYHU1-3UHQWLFH+DOO
'DEXO%  $SUD[LDEDWWHU\IRUDGXOWV QGHG $XVWLQ7;3UR(G
'DPLFR-6  /DQJXDJHDVVHVVPHQWLQDGROHVFHQWV$GGUHVVLQJFULWLFDOLVVXHV/DQJXDJH6SHHFK
DQG+HDULQJ6HUYLFHVLQ6FKRROV
'DZVRQ-,6WRXW&( (\HU-$  7KHVWUXFWXUHGSKRWRJUDSKLFH[SUHVVLYHODQJXDJHWHVW
UGHG 'H.DOE,/-DQHOOH
'RQDKRH-: 3DOPHU'&  /HDUQLQJDQGFRPSOH[EHKDYLRU1HHGKDP+HLJKWV0$$OO\Q
DQG%DFRQ
'XFKDQ-)  *HWWLQJKHUH$VKRUWKLVWRU\RIVSHHFKSDWKRORJ\LQ$PHULFD5HWULHYHG'HFHPEHU
IURPKWWSZZZDFVXEXIIDORHGXaGXFKDQKLVWRU\KWPO
'XNHU3&  7KHYHUEDOEHKDYLRUDVVHVVPHQWVFDOH 9HU%$6 &RQVWUXFWYDOLGLW\UHOLDELOLW\DQG
LQWHUQDOFRQVLVWHQF\5HVHDUFKLQ'HYHORSPHQWDO'LVDELOLWLHV
'XQQ/0'XQQ/0 'XQQ'0  3HDERG\SLFWXUHYRFDEXODU\WHVW UGHG &LUFOH
3LQHV01$PHULFDQ*XLGDQFH6HUYLFH

 
SLP- ABA Volume 5, Issue No. 2 

'Z\HU0RRUH.- 'L[RQ05  )XQFWLRQDODQDO\VLVDQGWUHDWPHQWRISUREOHPEHKDYLRURI
HOGHUO\DGXOWVLQORQJWHUPFDUH-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV
(GOXQG&9  7KHHIIHFWRQWKHEHKDYLRURIFKLOGUHQDVUHIOHFWHGLQWKH,4VFRUHVZKHQ
UHLQIRUFHGDIWHUHDFKFRUUHFWUHVSRQVH-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV
(VFK%  (DUO\FRPPXQLFDWLRQREVWDFOHVWRVXFFHVV$XWLVPDQG5HODWHG'HYHORSPHQWDO
'LVDELOLWLHV6,*1HZVOHWWHU
)HQVRQ/0DUFKPDQ9$7KDO'-'DOH365H]QLFN6- %DWHV(  0DF$UWKXU
%DWHVFRPPXQLFDWLYHGHYHORSPHQWLQYHQWRULHV%DOWLPRUH0'%URRNHV
)URVW/ %RQG\$  7KHSLFWXUHH[FKDQJHFRPPXQLFDWLRQV\VWHP 3(&6 WUDLQLQJPDQXDO QG
HG 1HZDUN'(3\UDPLG
)URVW/ %RQG\$  $FRPPRQODQJXDJH8VLQJ%)6NLQQHU¶VYHUEDOEHKDYLRUIRU
DVVHVVPHQWDQGWUHDWPHQWRIFRPPXQLFDWLRQGLVDELOLWLHVLQ6/3$%$7KH-RXUQDORI6SHHFK
/DQJXDJH3DWKRORJ\DQG$SSOLHG%HKDYLRU$QDO\VLV
*DUGQHU0)  ([SUHVVLYHRQHZRUGSLFWXUHYRFDEXODU\WHVW1RYDWR&$$FDGHPLF7KHUDS\
*HUPDQ'-  7HVWRIZRUGILQGLQJ7:) QGHG $XVWLQ7;3UR(G
*ROGPDQ5 )ULVWRH0  *ROGPDQ)ULVWRH7HVWRI$UWLFXODWLRQ QGHG &LUFOH3LQHV01
$PHULFDQ*XLGDQFH6HUYLFH
*ROGVPLWK75/H%ODQF/$ 6DXWWHU5$  7HDFKLQJLQWUDYHUEDOEHKDYLRUWRFKLOGUHQZLWK
DXWLVP5HVHDUFKLQ$XWLVP6SHFWUXP'LVRUGHUV
*URZ//.HOOH\0(5RDQH+6 6KLOOLQJVEXUJ0$  8WLOLW\RIH[WLQFWLRQLQGXFHG
UHVSRQVHYDULDELOLW\IRUWKHVHOHFWLRQRIPDQGV-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV
*UHHU5' 5RVV'(  9HUEDOEHKDYLRUDQDO\VLV,QGXFLQJDQGH[SDQGLQJQHZYHUEDO
FDSDELOLWLHVLQFKLOGUHQZLWKODQJXDJHGHOD\V%RVWRQ0$3HDUVRQ
+DOO* 6XQGEHUJ0/  7HDFKLQJPDQGVE\PDQLSXODWLQJFRQGLWLRQHGHVWDEOLVKLQJ
RSHUDWLRQV7KH$QDO\VLVRI9HUEDO%HKDYLRU
+DUW% 5RJHUV:DUUHQ$  $PLOLHXDSSURDFKWRWHDFKLQJODQJXDJH,Q5/6FKLHIHOEXVFK
(G /DQJXDJHLQWHUYHQWLRQVWUDWHJLHV SS %DOWLPRUH8QLYHUVLW\3DUN3UHVV
+HJGH01  7UHDWPHQWSURFHGXUHVLQFRPPXQLFDWLYHGLVRUGHUV UGHG $XVWLQ7;3UR(G
+HJGH01  0HDQLQJLQEHKDYLRUDODQDO\VLV7KH-RXUQDORI6SHHFK/DQJXDJH3DWKRORJ\DQG
$SSOLHG%HKDYLRU$QDO\VLV
+HJGH01 0DXO&$  /DQJXDJHGLVRUGHUVLQFKLOGUHQ$QHYLGHQFHEDVHGDSSURDFKWR
DVVHVVPHQWDQGWUHDWPHQW%RVWRQ0$3HDUVRQ
+HOP(VWDEURRNV1  7HVWRIRUDODQGOLPEDSUD[LD&KLFDJR,/$SSOLHG6\PEROL[
+HOP(VWDEURRNV15DPVEHUJHU*0RUJDQ$5 1LFKRODV0  %RVWRQDVVHVVPHQWRI
VHYHUHDSKDVLD&KLFDJR,/$SSOLHG6\PEROL[
+LFNPDQ/$  7KHDSUD[LDSURILOH6DQ$QWRQLR7;7KH3V\FKRORJLFDO&RUSRUDWLRQ
+RGVRQ%:  +RGVRQDVVHVVPHQWRISKRQRORJLFDOSDWWHUQV UGHG $XVWLQ7;3UR(G
+\WHU<'  3UDJPDWLFODQJXDJHDVVHVVPHQW$SUDJPDWLFVDVVRFLDOSUDFWLFHPRGHO7RSLFVLQ
/DQJXDJH'LVRUGHUV

 
SLP- ABA Volume 5, Issue No. 2 

,ZDWD%$'RUVH\0)6OLIHU.-%DXPDQ.( 5LFKPDQ*6  7RZDUGDIXQFWLRQDO
DQDO\VLVRIVHOILQMXU\-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV 5HSULQWHGIURP
$QDO\VLVDQG,QWHUYHQWLRQLQ'HYHORSPHQWDO'LVDELOLWLHV 
.DXIPDQ15  .DXIPDQVSHHFKSUD[LVWHVW'HWURLW:D\QH6WDWH8QLYHUVLW\3UHVV
.HUWHV]$  :HVWHUQDSKDVLDEDWWHU\UHYLVHG6DQ$QWRQLR7;3V\FK&RUS
.KDQ/ /HZLV1  .KDQ/HZLVSKRQRORJLFDODQDO\VLV QGHG &LUFOH3LQHV01$PHULFDQ
*XLGDQFH6HUYLFH
.RGDN71RUWKXS- .HOOH\0(  $QHYDOXDWLRQRIWKHW\SHVRIDWWHQWLRQWKDWPDLQWDLQ
SUREOHPEHKDYLRU-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV
.RHJHO5/ .RHJHO/.  7HDFKLQJFKLOGUHQZLWKDXWLVP6WUDWHJLHVIRULQLWLDWLQJSRVLWLYH
LQWHUDFWLRQVDQGLPSURYLQJOHDUQLQJRSSRUWXQLWLHV%DOWLPRUH0'3DXO+%URRNHV
.RHJHO/..RHJHO5/ 6PLWK$  9DULDEOHVUHODWHGWRGLIIHUHQFHVLQVWDQGDUGL]HGWHVW
RXWFRPHVIRUFKLOGUHQZLWKDXWLVP-RXUQDORI$XWLVPDQG'HYHORSPHQWDO'LVRUGHUV
.RXUL7$  /H[LFDOWUDLQLQJWKURXJKPRGHOLQJDQGHOLFLWDWLRQSURFHGXUHVZLWKODWHWDONHUVZKR
KDYHVSHFLILFODQJXDJHLPSDLUPHQWDQGGHYHORSPHQWDOGHOD\V-RXUQDORI6SHHFK/DQJXDJHDQG
+HDULQJ5HVHDUFK
/DPDUUH- +ROODQG-*  7KHIXQFWLRQDOLQGHSHQGHQFHRIPDQGVDQGWDFWV-RXUQDORIWKH
([SHULPHQWDO$QDO\VLVRI%HKDYLRU
/D3RLQWH/ +RUQHU-  5HDGLQJFRPSUHKHQVLRQEDWWHU\IRUDSKDVLD QGHG $XVWLQ7;
3UR(G
/DUDZD\66Q\FHUVNL60LFKDHO- 3ROLQJ$  0RWLYDWLQJRSHUDWLRQVDQGWHUPVWRGHVFULEH
WKHP6RPHIXUWKHUUHILQHPHQWV-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV
/D5XH5:HLVV0- &DEOH0.  )XQFWLRQDOFRPPXQLFDWLRQWUDLQLQJ7KHUROHRIVSHHFK
SDWKRORJLVWVDQGEHKDYLRUDQDO\VWVLQVHUYLQJVWXGHQWVZLWKDXWLVP7KH-RXUQDORI6SHHFK
/DQJXDJH3DWKRORJ\DQG$SSOLHG%HKDYLRU$QDO\VLV
/H%ODQF/$'LOORQ&0 6DXWWHU5$  (VWDEOLVKLQJPDQGDQGWDFWUHSHUWRLUHV,Q5$
5HKIHOGW <%DUQHV+ROPHV (GV 'HULYHGUHODWLRQDOUHVSRQGLQJ$SSOLFDWLRQVIRUOHDUQHUV
ZLWKDXWLVPDQGRWKHUGHYHORSPHQWDOGLVDELOLWLHV$SURJUHVVLYHJXLGHWRFKDQJH SS 
2DNODQG&$1HZ+DUELQJHU
/HUPDQ'&3DUWHQ0$GGLVRQ/59RUQGUDQ&09RONHUW90 .RGDN7  $
PHWKRGRORJ\IRUDVVHVVLQJWKHIXQFWLRQVRIHPHUJLQJVSHHFKLQFKLOGUHQZLWKGHYHORSPHQWDO
GLVDELOLWLHV-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV
/LSSNH%$'LFNH\6(6HOPDU-: 6RGHU$/  3KRWRDUWLFXODWLRQWHVW UGHG 
$XVWLQ7;3UR(G
/RGKL6 *UHHU5'  7KHVSHDNHUDVOLVWHQHU-RXUQDORI([SHULPHQWDO$QDO\VLVRI%HKDYLRU

/RYDDV2, 6PLWK7  (DUO\DQGLQWHQVLYHEHKDYLRUDOLQWHUYHQWLRQLQDXWLVP,Q$(.D]GLQ
-5:HLV] (GV (YLGHQFHEDVHGSV\FKRWKHUDSLHVIRUFKLOGUHQDQGDGROHVFHQWV SS
 1HZ<RUN*XLOIRUG
/RZHQNURQ%  $QLQWURGXFWLRQWRMRLQWFRQWURO7KH$QDO\VLVRI9HUEDO%HKDYLRU
/XFLDQR0&  $FTXLVLWLRQPDLQWHQDQFHDQGJHQHUDOL]DWLRQRISURGXFWLYHLQWUDYHUEDOEHKDYLRU
WKURXJKWUDQVIHURIVWLPXOXVFRQWUROSURFHGXUHV$SSOLHG5HVHDUFKLQ0HQWDO5HWDUGDWLRQ

 
SLP- ABA Volume 5, Issue No. 2 

0LFKDHO-  'LVWLQJXLVKLQJEHWZHHQGLVFULPLQDWLYHDQGPRWLYDWLQJIXQFWLRQVRIVWLPXOL-RXUQDORI
WKH([SHULPHQWDO$QDO\VLVRI%HKDYLRU
0LFKDHO-  &RQFHSWVDQGSULQFLSOHVRIEHKDYLRUDQDO\VLV UHYHG .DODPD]RR0,6RFLHW\IRU
WKH$GYDQFHPHQWRI%HKDYLRU$QDO\VLV
0LJXHO&) 3HWXUVGRWWLU$,  1DPLQJDQGIUDPHVRIFRRUGLQDWLRQ,Q5$5HKIHOGW <
%DUQHV+ROPHV (GV 'HULYHGUHODWLRQDOUHVSRQGLQJ$SSOLFDWLRQVIRUOHDUQHUVZLWKDXWLVPDQG
RWKHUGHYHORSPHQWDOGLVDELOLWLHV$SURJUHVVLYHJXLGHWRFKDQJH SS 2DNODQG&$
1HZ+DUELQJHU
0LJXHO&)3HWXUVGRWWLU$,&DUU-( 0LFKDHO-  7KHUROHRIQDPLQJLQVWLPXOXV
FDWHJRUL]DWLRQE\SUHVFKRROFKLOGUHQ-RXUQDORIWKH([SHULPHQWDO$QDO\VLVRI%HKDYLRU

0LOWHQEHUJHU5*  %HKDYLRUPRGLILFDWLRQ3ULQFLSOHVDQGSURFHGXUHV QGHG %HOPRQW&$
:DGVZRUWK7KRPVRQ/HDUQLQJ
1DWLRQDO$XWLVP&HQWHU  (YLGHQFHEDVHGSUDFWLFHDQGDXWLVPLQWKHVFKRROV$JXLGHWRSURYLGLQJ
DSSURSULDWHLQWHUYHQWLRQVWRVWXGHQWVZLWKDXWLVPVSHFWUXPGLVRUGHUV5DQGROSK0$1DWLRQDO
$XWLVP&HQWHU
1HZFRPHU3/ +DPPLOO''  7HVWRIODQJXDJHGHYHORSPHQW±SULPDU\ UGHG $XVWLQ
7;3URHG
1LFRORVL/+DUU\PDQ( .UHVKHFN-  7HUPLQRORJ\RIFRPPXQLFDWLRQGLVRUGHUV6SHHFK
ODQJXDJHKHDULQJ%DOWLPRUH0':LOOLDPV :LONLQV
1RWDUL$ %ULFNHU'  7KHXWLOLW\RIDFXUULFXOXPEDVHGDVVHVVPHQWLQVWUXPHQWLQWKH
GHYHORSPHQWRILQGLYLGXDOL]HGHGXFDWLRQSODQVIRULQIDQWVDQG\RXQJFKLOGUHQ-RXUQDORI(DUO\
,QWHUYHQWLRQ
1RYDN*  'HYHORSPHQWDOSV\FKRORJ\'\QDPLFDOV\VWHPVDQGEHKDYLRUDQDO\VLV5HQR19
&RQWH[W3UHVV
1RYDN* 3HODH]0  &KLOGDQGDGROHVFHQWGHYHORSPHQW$EHKDYLRUDOV\VWHPVDSSURDFK
7KRXVDQG2DNV&$6DJH
2JOHWUHH%7 2UHQ7  $SSOLFDWLRQRI$%$SULQFLSOHVWRJHQHUDOFRPPXQLFDWLRQLQVWUXFWLRQ
)RFXVRQ$XWLVPDQG2WKHU'HYHORSPHQWDO'LVDELOLWLHV
3DOPHU'&  7KHVSHDNHUDVOLVWHQHU7KHLQWHUSUHWDWLRQRIVWUXFWXUDOUHJXODULWLHVLQYHUEDO
EHKDYLRU7KH$QDO\VLVRI9HUEDO%HKDYLRU
3DOPHU'&  &KRPVN\¶VQDWLYLVP$FULWLFDOUHYLHZ7KH$QDO\VLVRI9HUEDO%HKDYLRU
3DUWLQJWRQ-: %DLOH\-6  7HDFKLQJLQWUDYHUEDOEHKDYLRUWRSUHVFKRROFKLOGUHQ7KH
$QDO\VLVRI9HUEDO%HKDYLRU
3DUWLQJWRQ-: 6XQGEHUJ0/  7KHDVVHVVPHQWRIEDVLFODQJXDJHDQGOHDUQLQJVNLOOV 7KH
$%//6 3OHDVDQW+LOO&$%HKDYLRU$QDO\VWV
3HWXUVGRWWLU$,&DUU-(/HFKDJR6$ $OPDVRQ60  $QHYDOXDWLRQRILQWUDYHUEDO
WUDLQLQJDQGOLVWHQHUWUDLQLQJIRUWHDFKLQJFDWHJRUL]DWLRQVNLOOV-RXUQDORI$SSOLHG%HKDYLRU
$QDO\VLV
3LD]]D&& 5RDQH+6  $VVHVVPHQWRISHGLDWULFIHHGLQJGLVRUGHUV,Q-/0DWVRQ)
$QGUDVLN 0/0DWVRQ (GV $VVHVVLQJFKLOGKRRGSV\FKRSDWKRORJ\DQGGHYHORSPHQWDO
GLVDELOLWLHV SS 1HZ<RUN6SULQJHU

 
SLP- ABA Volume 5, Issue No. 2 

3LQNHU6  7KHODQJXDJHLQVWLQFW+RZWKHPLQGFUHDWHVODQJXDJH1<+DUSHU&ROOLQV
3RRQ: %XWOHU.*  (YDOXDWLRQRILQWUDYHUEDOUHVSRQVHVLQILYHWRVHYHQ\HDUROGFKLOGUHQ
-RXUQDORI6SHHFKDQG+HDULQJ5HVHDUFK
3UL]DQW%0 'XFKDQ-)  7KHIXQFWLRQVRILPPHGLDWHHFKRODOLDLQDXWLVWLFFKLOGUHQ-RXUQDO
RI6SHHFKDQG+HDULQJ'LVRUGHUV
5HKIHOGW5$ %DUQHV+ROPHV<  'HULYHGUHODWLRQDOUHVSRQGLQJ$SSOLFDWLRQVIRUOHDUQHUV
ZLWKDXWLVPDQGRWKHUGHYHORSPHQWDOGLVDELOLWLHV$SURJUHVVLYHJXLGHWRFKDQJH2DNODQG&$
1HZ+DUELQJHU
5RPDQF]\N5*/RFNVKLQ6 0DWH\/  7KHFKLOGUHQ¶VXQLWIRUWUHDWPHQWDQGHYDOXDWLRQ,Q
-6+DQGOHPDQ 6/+DUULV (GV 3UHVFKRROHGXFDWLRQSURJUDPVIRUFKLOGUHQZLWKDXWLVP
SS $XVWLQ7;3UR(G
5RVDOHV5 5HKIHOGW5$  &RQWULYLQJWUDQVLWLYHFRQGLWLRQHGHVWDEOLVKLQJRSHUDWLRQVWR
HVWDEOLVKGHULYHGPDQGLQJVNLOOVLQDGXOWVZLWKVHYHUHGHYHORSPHQWDOGLVDELOLWLHV-RXUQDORI
$SSOLHG%HKDYLRU$QDO\VLV
5RWK)3 6SHNPDQ1-  $VVHVVLQJWKHSUDJPDWLFDELOLWLHVRIFKLOGUHQ3DUW2UJDQL]DWLRQDO
IUDPHZRUNDQGDVVHVVPHQWSDUDPHWHUV-RXUQDORI6SHHFKDQG+HDULQJ'LVRUGHUV
5RZODQG& 6FKZHLJHUW3  $QDO\]LQJWKHFRPPXQLFDWLRQHQYLURQPHQWWRLQFUHDVHIXQFWLRQDO
FRPPXQLFDWLRQ-RXUQDORI7KH$VVRFLDWLRQIRU3HUVRQVZLWK6HYHUH+DQGLFDSV
5YDFKHZ6  6SHHFKSHUFHSWLRQWUDLQLQJFDQIDFLOLWDWHVRXQGSURGXFWLRQOHDUQLQJ-RXUQDORI
6SHHFKDQG+HDULQJ5HVHDUFK
6DXWWHU5$ /H%ODQF/$  (PSLULFDODSSOLFDWLRQVRI6NLQQHU¶VDQDO\VLVRIYHUEDOEHKDYLRU
ZLWKKXPDQV7KH$QDO\VLVRI9HUEDO%HKDYLRU
6FKOLQJHU+'  $EHKDYLRUDQDO\WLFYLHZRIFKLOGGHYHORSPHQW1HZ<RUN3OHQXP3UHVV
6FKOLQJHU+'  &RQGLWLRQLQJWKHEHKDYLRURIWKHOLVWHQHU,QWHUQDWLRQDO-RXUQDORI3V\FKRORJ\
DQG3V\FKRORJLFDO7KHUDS\
6FKOLQJHU+' 3ROLQJ$'  ,QWURGXFWLRQWRVFLHQWLILFSV\FKRORJ\1HZ<RUN3OHQXP
6HDUOH-  6SHHFKDFWV$QHVVD\LQWKHSKLORVRSK\RIODQJXDJH/RQGRQ&DPEULGJH8QLYHUVLW\
3UHVV
6HFRUG:$ 'RQRKXH-6  &OLQLFDODVVHVVPHQWRIDUWLFXODWLRQDQGSKRQRORJ\*UHHQYLOOH
6&6XSHU'XSHU
6HPHO(:LLJ(+ 6HFRUG:$  &OLQLFDOHYDOXDWLRQRIODQJXDJHIXQGDPHQWDOVDJHV
WKHG 6DQ$QWRQLR7;3HDUVRQ
6KLOOLQJVEXUJ0$.HOOH\0(5RDQH+6.LVDPRUH$ %URZQ05  (YDOXDWLRQDQG
WUDLQLQJRI\HVQRUHVSRQGLQJDFURVVYHUEDORSHUDQWV-RXUQDORI$SSOLHG%HKDYLRU$QDO\VLV

6LGPDQ0  7KHEHKDYLRUDODQDO\VLVRIDSKDVLD-RXUQDORI3V\FKLDWULF5HVHDUFK
6LGPDQ0  (TXLYDOHQFHUHODWLRQVDQGEHKDYLRU$UHVHDUFKVWRU\%RVWRQ0$$XWKRUV
&RRSHUDWLYH
6LJDIRRV-'RVV6 5HLFKOH-  'HYHORSLQJPDQGDQGWDFWUHSHUWRLUHVZLWKSHUVRQVZLWK
VHYHUHGHYHORSPHQWDOGLVDELOLWLHVZLWKJUDSKLFV\PEROV5HVHDUFKLQ'HYHORSPHQWDO'LVDELOLWLHV


 
SLP- ABA Volume 5, Issue No. 2 

6NLQQHU%)  9HUEDOEHKDYLRU1HZ<RUN$SSOHWRQ&HQWXU\&URIWV
6SUDGOLQ-(  $VVHVVPHQWRIVSHHFKDQGODQJXDJHRIUHWDUGHGFKLOGUHQ7KH3DUVRQVODQJXDJH
VDPSOH-RXUQDORI6SHHFKDQG+HDULQJ'LVRUGHUV0RQRJUDSK
6SUDGOLQ-( 6LHJHO*0  /DQJXDJHWUDLQLQJLQQDWXUDODQGFOLQLFDOHQYLURQPHQWV-RXUQDORI
6SHHFKDQG+HDULQJ'LVRUGHUV
6XQGEHUJ0/  UHVHDUFKWRSLFVIURP6NLQQHU¶VERRN9HUEDO%HKDYLRU7KH$QDO\VLVRI
9HUEDO%HKDYLRU
6XQGEHUJ0/  9%0$339HUEDOEHKDYLRUPLOHVWRQHVDVVHVVPHQWDQGSODFHPHQWSURJUDP
&RQFRUG&$$9%3UHVV
6XQGEHUJ0/ 0LFKDHO-  7KHEHQHILWVRI6NLQQHU¶VDQDO\VLVRIYHUEDOEHKDYLRUIRUFKLOGUHQ
ZLWKDXWLVP%HKDYLRU0RGLILFDWLRQ
6XQGEHUJ0/ 3DUWLQJWRQ-:  7HDFKLQJODQJXDJHWRFKLOGUHQZLWKDXWLVPRURWKHU
GHYHORSPHQWDOGLVDELOLWLHV3OHDVDQW+LOO&$%HKDYLRU$QDO\VWV
6XQGEHUJ0/6DQ-XDQ%'DZG\0 $UJHOOHV0  7KHDFTXLVLWLRQRIWDFWVPDQGVDQG
LQWUDYHUEDOVE\LQGLYLGXDOVZLWKWUDXPDWLFEUDLQLQMXU\7KH$QDO\VLVRI9HUEDO%HKDYLRU

6ZHHQH\.HUZLQ(-&DUERQH9-2¶%ULHQ/=HFFKLQ* -DQHFN\01  7UDQVIHUULQJ
FRQWURORIWKHPDQGWRWKHPRWLYDWLQJRSHUDWLRQLQFKLOGUHQZLWKDXWLVP7KH$QDO\VLVRI9HUEDO
%HKDYLRU
7Z\PDQ-6  7KHIXQFWLRQDOLQGHSHQGHQFHRILPSXUHPDQGVDQGWDFWVRIDEVWUDFWVWLPXOXV
SURSHUWLHV7KH$QDO\VLVRI9HUEDO%HKDYLRU
:DJQHU57RUJHVHQ- 5DVKRWWH&  &RPSUHKHQVLYHWHVWRISKRQRORJLFDOSURFHVVLQJIRU
DJHVDQG$XVWLQ7;3UR(G
:DOODFH* +DPPLOO'  &RPSUHKHQVLYHUHFHSWLYHDQGH[SUHVVLYHYRFDEXODU\WHVW$XVWLQ
7;3UR(G
:DWNLQV&/3DFN7HL[HLUD/ +RZDUG-6  7HDFKLQJLQWUDYHUEDOEHKDYLRUWRVHYHUHO\
UHWDUGHGFKLOGUHQ7KH$QDO\VLVRI9HUEDO%HKDYLRU
:LLJ(+6HFRUG:$ 6HPHO(  &OLQLFDOHYDOXDWLRQRIODQJXDJHIXQGDPHQWDOV
SUHVFKRRO QGHG 6DQ$QWRQLR7;3V\FK&RUS
:LOOLDPV* *UHHU5'  $FRPSDULVRQRIYHUEDOEHKDYLRUDQGOLQJXLVWLFFRPPXQLFDWLRQ
FXUULFXODIRUWUDLQLQJGHYHORSPHQWDOO\GHOD\HGDGROHVFHQWVWRDFTXLUHDQGPDLQWDLQYRFDOVSHHFK
%HKDYLRURORJ\
:LOOLDPV.7  ([SUHVVLYHYRFDEXODU\WHVW&LUFOH3LQHV01$PHULFDQ*XLGDQFH6HUYLFH
=LPPHUPDQ,/6WHLQHU9* 3RQG5(  3UHVFKRROODQJXDJHVFDOH WKHG 6DQ
$QWRQLR7;3HDUVRQ

$XWKRU&RQWDFW,QIRUPDWLRQ

&RUUHVSRQGHQFHFRQFHUQLQJWKLVDUWLFOHVKRXOGEHDGGUHVVHGWRWKHILUVWDXWKRU

%DUEDUD((VFK
(VFK%HKDYLRU&RQVXOWDQWV,QF
32%R[

 
SLP- ABA Volume 5, Issue No. 2 

.DODPD]RR0,
3KRQH
(PDLOEHVFK#PDFFRP

.DWH%/D/RQGH
(VFK%HKDYLRU&RQVXOWDQWV,QF
32%R[
.DODPD]RR0,

-RKQ:(VFK
(VFK%HKDYLRU&RQVXOWDQWV,QF
32%R[
.DODPD]RR0,

BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB

ADVERTISEMENT




ADVERTISING IN BAO Journals


If you wish to place an advertisement in any of our journals, you can do it by contacting us.

The prices for advertising in one issue are as follows:

1/4 Page: $50.00 1/2 Page: $100.00 Full Page: $200.00

If you wish to run the same ad in multiple issues for the year, you are eligible for the
following discount: 

1/4 Pg.: $40 - per issue 


1/2 Pg.: $75 - per issue 
Full Page: $150.00-per issue

An additional one time layout/composition fee of $25.00 is applicable 

In addition to placing your ad in the journal(s) of your choice, we will place your ad on our
website’s advertising section.

For more information, or place an ad, contact Halina Dziewolska by phone at (215)
462-6737 or e-mail at: halinadz@hotmail.com

 

View publication stats

You might also like