Theory - FOR EXEMPLARY_PROFESSOR001 ONLY
dayfat
what_is_research_design.pdf
!"#$ %
!"#$ %& '(&(#')" *(&%+,-
&
$'( )*+$(,$ *- .(/%0+
123452 26789:9:; <=>2? 43 52?275@A B2?9;:? 9< 9? 98>45<7:< <4 C2 @D275 7C4E< <A2 54D2 7:B >E5>4?2 43 52?275@A B2?9;:F G2 :22B <4 E:B25?<7:B HA7< 52?275@A B2?9;: 9? 7:B HA7< 9< 9? :4<F G2 :22B <4 I:4H HA252 B2?9;: J<? 9:<4 <A2 HA4D2 52?275@A >54@2?? 3548 35789:; 7 KE2?<94: <4 J:7DD= 7:7D=?9:; 7:B 52>45<9:; B7<7F $A9? 9? <A2 >E5>4?2 43 <A9? @A7><25F
*./01234256 768 .93:7674256
/4@97D 52?275@A25? 7?I <H4 3E:B782:<7D <=>2? 43 52?275@A KE2?<94:?L
& !"#$ 9? ;49:; 4: MB2?@59><9N2 52?275@AOP Q !"% 9? 9< ;49:; 4: M26>D7:7<45= 52?275@AOP
&'()*+,$+-' *'('#*)"
"D<A4E;A ?482 >24>D2 B9?89?? B2?@59><9N2 52?275@A 7? R8252 B2?@59>S <94:TU ;44B B2?@59><94: 9? 3E:B782:<7D <4 <A2 52?275@A 2:<25>59?2 7:B 9< A7? 7BB2B 98827?E57CD= <4 4E5 I:4HD2B;2 43 <A2 ?A7>2 7:B :7<E52 43 4E5 ?4@92<=F .2?@59><9N2 52?275@A 2:@48>7??2? 8E@A ;4N25:82:< ?>4:S ?452B 52?275@A 9:@DEB9:; <A2 >4>ED7<94: @2:?E?U <A2 @4DD2@<94: 43 7 H9B2 57:;2 43 ?4@97D 9:B9@7<45? 7:B 2@4:489@ 9:34587<94: ?E@A 7? A4E?2A4DB 26>2:B9<E52 >7<<25:?U <982 E?2 ?<EB92?U 28>D4=82:< 7:B @5982 ?<7<9?<9@? 7:B <A2 D9I2F
.2?@59><94:? @7: C2 @4:@52<2 45 7C?<57@<F " 52D7<9N2D= @4:@52<2 B2?@59>S <94: 89;A< B2?@59C2 <A2 2<A:9@ 896 43 7 @488E:9<=U <A2 @A7:;9:; 7;2 >54JD2 43 7 >4>ED7<94: 45 <A2 ;2:B25 896 43 7 H45I>D7@2F "D<25:7<9N2D=
Q G'"$ %/ #(/("#)' .(/%0+P
<A2 B2?@59><94: 89;A< 7?I 8452 7C?<57@< KE2?<94:? ?E@A 7? R%? <A2 D2N2D 43 ?4@97D 9:2KE7D9<= 9:@527?9:; 45 B2@D9:9:;PTU R'4H ?2@ED75 9? ?4@92<=PT 45 R'4H 8E@A >4N25<= 9? <A252 9: <A9? @488E:9<=PT
"@@E57<2 B2?@59><94:? 43 <A2 D2N2D 43 E:28>D4=82:< 45 >4N25<= A7N2 A9?<459@7DD= >D7=2B 7 I2= 54D2 9: ?4@97D >4D9@= 523458? MV75?AU &WXQOF 1= B284:?<57<9:; <A2 269?<2:@2 43 ?4@97D >54CD28?U @48>2<2:< B2?@59><94: @7: @A7DD2:;2 7@@2><2B 7??E8><94:? 7C4E< <A2 H7= <A9:;? 752 7:B @7: >54N4I2 7@<94:F
044B B2?@59><94: >54N4I2? <A2 RHA=T KE2?<94:? 43 26>D7:7<45= 52?275@AF %3 H2 B2<2@< ;527<25 ?4@97D >4D759Y7<94: 4N25 <A2 D7?< QZ =275? M9F2F <A2 59@A 752 ;2<<9:; 59@A25 7:B <A2 >445 752 ;2<<9:; >44525O H2 752 345@2B <4 7?I RGA= 9? <A9? A7>>2:9:;PT 1E< C23452 7?I9:; RHA=PT H2 8E?< C2 ?E52 7C4E< <A2 37@< 7:B B982:?94:? 43 <A2 >A2:482:4: 43 9:@527?9:; >4D759Y7<94:F %< 9? 7DD N25= H2DD <4 B2N2D4> 2D7C457<2 <A24592? 7? <4 HA= ?4@92<= 89;A< C2 8452 >4D759Y2B :4H <A7: 9: <A2 52@2:< >7?<U CE< 93 <A2 C7?9@ >5289?2 9? H54:; M9F2F ?4@92<= 9? :4< C2@489:; 8452 >4D759Y2BO <A2: 7<<28><? <4 26>D79: 7 :4:S269?<2:< >A2:482:4: 752 ?9DD=F
*3 @4E5?2 B2?@59><94: @7: B2;2:257<2 <4 89:BD2?? 37@< ;7<A259:; 45 HA7< )FGF V9DD? M&W[WO @7DD2B R7C?<57@<2B 28>959@9?8TF $A252 752 >D2:<= 43 2678>D2? 43 E:34@E?2B ?E5N2=? 7:B @7?2 ?<EB92? <A7< 52>45< <59N97D 9:34587<94: 7:B 379D <4 >54N4I2 7:= RHA=T KE2?<94:? 45 >54N9B2 7:= C7?9? 345 ;2:257D9Y7<94:F '4H2N25U <A9? 9? 7 3E:@<94: 43 9:@4:?2KE2:<97D B2?@59><94:? 57<A25 <A7: 7: 9:B9@<82:< 43 B2?@59><9N2 52?275@A 9<?2D3F
./,0#1#$2*% *'('#*)"
(6>D7:7<45= 52?275@A 34@E?2? 4: 3"% KE2?<94:?F -45 2678>D2U 9< 9? 4:2 <A9:; <4 B2?@59C2 <A2 @5982 57<2 9: 7 @4E:<5=U <4 26789:2 <52:B? 4N25 <982 45 <4 @48>752 <A2 57<2? 9: B933252:< @4E:<592?F %< 9? KE9<2 7 B933252:< <A9:; <4 B2N2D4> 26>D7:7<94:? 7C4E< HA= <A2 @5982 57<2 9? 7? A9;A 7? 9< 9?U HA= ?482 <=>2? 43 @5982 752 9:@527?9:; 45 HA= <A2 57<2 9? A9;A25 9: ?482 @4E:<592? <A7: 9: 4<A25?F
$A2 H7= 9: HA9@A 52?275@A25? B2N2D4> 52?275@A B2?9;:? 9? 3E:B7S 82:<7DD= 7332@<2B C= HA2<A25 <A2 52?275@A KE2?<94: 9? B2?@59><9N2 45 26>D7:7<45=F %< 7332@<? HA7< 9:34587<94: 9? @4DD2@<2BF -45 2678>D2U 93 H2 H7:< <4 26>D79: HA= ?482 >24>D2 752 8452 D9I2D= <4 C2 7>>52A2:B2B 7:B @4:N9@<2B 43 @5982? H2 :22B <4 A7N2 AE:@A2? 7C4E< HA= <A9? 9? ?4F G2 87= A7N2 87:= >4??9CD= 9:@48>7<9CD2 AE:@A2? 7:B H9DD :22B <4 @4DD2@< 9:34587<94: <A7< 2:7CD2? E? <4 ?22 HA9@A AE:@A2? H45I C2?< 28>959@7DD=F
":?H259:; <A2 RHA=T KE2?<94:? 9:N4DN2? B2N2D4>9:; )#4(#0 26>D7:7S <94:?F )7E?7D 26>D7:7<94:? 75;E2 <A7< >A2:482:4: 5 M2F;F 9:@482 D2N2DO 9? 7332@<2B C= 37@<45 6 M2F;F ;2:B25OF /482 @7E?7D 26>D7:7<94:? H9DD C2 ?98>D2 HA9D2 4<A25? H9DD C2 8452 @48>D26F -45 2678>D2U H2 89;A< 75;E2 <A7< <A252 9? 7 7+*')$ 2332@< 43 ;2:B25 4: 9:@482 M9F2F ?98>D2 ;2:B25 B9?@5989:7<94:O M-9;E52 &F&7OF G2 89;A< 75;E2 345 7 @7E?7D @A79:U ?E@A 7? <A7< ;2:B25 7332@<? @A49@2 43 J2DB 43 <579:9:; HA9@A 9: <E5: 7332@<?
\ $'( )*+$(,$ *- .(/%0+
a) Direct causal relationship
Income levelGender
b) Indirect causal relationship: a causal chain
Gender Field of training Occupation Promotion
opportunities Income
level
c) A more complex causal model of direct and indirect causal links
Gender
Child-care responsibility
Occupation
Part time or full time work
Income level
Field of training
-9;E52 &F& 8"*'' $%,'( 29 )#4(#0 *'0#$+21("+,(
4@@E>7<94:7D 4><94:?U HA9@A 752 D9:I2B <4 4>>45<E:9<92? 345 >5484<94:U HA9@A 9: <E5: 7332@< 9:@482 D2N2D M-9;E52 &F&COF *5 H2 @4EDB >4?9< 7 8452 @48>D26 84B2D 9:N4DN9:; 7 :E8C25 43 9:<2552D7<2B @7E?7D @A79:? M-9;E52 &F&@OF
!"#$%&'%()* &(""#+,'%() ,)$ &,-.,'%()
!24>D2 43<2: @4:3E?2 @4552D7<94: H9<A @7E?7<94:F /98>D= C2@7E?2 4:2 2N2:< 34DD4H? 7:4<A25U 45 <H4 37@<45? @4SN75=U B42? :4< 827: <A7< 4:2 @7E?2? <A2 4<A25F $A2 D9:I C2<H22: <H4 2N2:<? 87= C2 @49:@9B2:<7D 57<A25 <A7: @7E?7DF
$A252 9? 7 @4552D7<94: C2<H22: <A2 :E8C25 43 J52 2:;9:2? 7< 7 J52 7:B <A2 784E:< 43 B787;2 @7E?2B C= <A2 J52 M<A2 8452 J52 2:;9:2? <A2 8452 B787;2OF %? 9< <A2523452 527?4:7CD2 <4 @4:@DEB2 <A7< <A2 :E8C25 43 J52 2:;9:2? @7E?2? <A2 784E:< 43 B787;2P )D275D= <A2 :E8C25 43 J52 2:;9:2? 7:B <A2 784E:< 43 B787;2 H9DD :2$" C2 BE2 <4 ?482 <A95B 37@<45 ] ?E@A 7? <A2 ?2594E?:2?? 43 <A2 J52F
/989D75D=U 7? <A2 B9N45@2 57<2 @A7:;2B 4N25 <A2 <H2:<92<A @2:<E5= <A2 @5982 57<2 9:@527?2B 7 32H =275? D7<25F 1E< <A9? B42? :4< 827: <A7< B9N45@2 @7E?2? @5982F #7<A25 <A7: B9N45@2 @7E?9:; @5982U B9N45@2 7:B @5982 57<2? 89;A< C4<A C2 BE2 <4 2$"'* ?4@97D >54@2??2? ?E@A 7? ?2@ED75S 9Y7<94:U ;527<25 9:B9N9BE7D9?8 45 >4N25<=F
^ G'"$ %/ #(/("#)' .(/%0+P
/<EB2:<? 7< 322 >7=9:; >59N7<2 ?@A44D? <=>9@7DD= >253458 C2<<25 9: <A295 J:7D =275 43 ?@A44D9:; <A7: <A4?2 7< ;4N25:82:< 3E:B2B ?@A44D?F 1E< <A9? :22B :4< C2 C2@7E?2 >59N7<2 ?@A44D? ,*274)' C2<<25 >2534587:@2F %< 87= C2 <A7< 7<<2:B9:; 7 >59N7<2 ?@A44D 7:B C2<<25 J:7DS=275 >2534587:@2 752 :2$" <A2 4E<@482 43 ?482 4<A25 @7E?2 M?22 D7<25 B9?@E??94:OF
)4:3E?9:; @7E?7<94: H9<A @4552D7<94: 7D?4 @4:3E?2? >52B9@<94: H9<A @7E?7<94: 7:B >52B9@<94: H9<A 26>D7:7<94:F GA252 <H4 2N2:<? 45 @A757@S <259?<9@? 752 @4552D7<2B H2 @7: >52B9@< 4:2 3548 <A2 4<A25F _:4H9:; <A2 <=>2 43 ?@A44D 7<<2:B2B 98>54N2? 4E5 @7>7@9<= <4 >52B9@< 7@7B289@ 7@A92N282:<F 1E< <A9? B42? :4< 827: <A7< <A2 ?@A44D <=>2 7332@<? 7@7S B289@ 7@A92N282:<F !52B9@<9:; >2534587:@2 4: <A2 C7?9? 43 ?@A44D <=>2 B42? :4< <2DD E? 3"% >59N7<2 ?@A44D ?<EB2:<? B4 C2<<25F ;227 ,*'7+)$+21 72'( 12$ 7','17 21 )#4(#0 *'0#$+21("+,(< =2* 72'( $"' #:+0+$% $2 ,*'7+)$ #))4*#$'0% 7'>21($*#$' #1%$"+1? #:24$ )#4(#0+$%F
#2@4;:9Y9:; <A7< @7E?7<94: 9? 8452 <A7: @4552D7<94: A9;AD9;A<? 7 >54CD28F GA9D2 H2 @7: 4C?25N2 @4552D7<94: 3' )#112$ 2:('*-' )#4('F G2 A7N2 <4 +19'* @7E?2F $A2?2 9:3252:@2? A4H2N25 752 R:2@2??759D= 37DD9CD2 F F F `<A2=a 752 4:D= 9:B952@<D= D9:I2B <4 4C?25N7CD2?T M)44I 7:B )78>C2DDU &WbWL &ZOF 12@7E?2 4E5 9:3252:@2? 752 37DD9CD2 H2 8E?< 89:989Y2 <A2 @A7:@2? 43 9:@4552@<D= ?7=9:; <A7< 7 52D7<94:?A9> 9? @7E?7D HA2: 9: 37@< 9< 9? :4<F @1' 29 $"' 9417#>'1$#0 ,4*,2('( 29 *'('#*)" 7'(+?1 +1 '/,0#1#$2*% *'('#*)" +( $2 #-2+7 +1-#0+7 +19'*'1)'(F
/#'#"0%)%.'%& ,)$ 1"(2,2%+%.'%& &()'. (3 &,-.,'%()
$A252 752 <H4 H7=? 43 <A9:I9:; 7C4E< @7E?2?L B2<2589:9?<9@7DD= 7:B >54C7C9D9?<9@7DD=F $A2 ?84I25 HA4 B2:92? <A7< <4C7@@4 @7E?2? @7:@25 C2@7E?2 A2 ?84I2? A27N9D= CE< A7? :4< @4:<57@<2B @7:@25 9DDE?<57<2? B2<2589:9?<9@ @7E?7<94:F !54C7C9D9?<9@ @7E?7<94: 9? 9DDE?<57<2B C= A27D<A 7E<A459<92? HA4 >49:< <4 <A2 9:@527?2B @A7:@2? 43 @7:@25 784:; ?84I25?F
.2<2589:9?<9@ @7E?7<94: 9? HA252 N7597CD2 6 9? ?79B <4 @7E?2 5 93U 7:B 4:D= 93U 6 +1-#*+#:0% >54BE@2? 5F $A7< 9?U HA2: 6 9? >52?2:< <A2: 5 H9DD R:2@2??759D=U 9:2N9<7CD= 7:B 9:37DD9CD=T 4@@E5 M)44I 7:B )78>C2DDU &WbWL &^OF $A9? 7>>547@A ?22I? <4 2?<7CD9?A @7E?7D 0#3( ?E@A 7?L HA2:2N25 H7<25 9? A27<2B <4 &ZZ c) 9< 7DH7=? C49D?F
%: 527D9<= D7H? 752 :2N25 <A9? ?98>D2F $A2= H9DD 7DH7=? ?>2@93= >75S <9@ED75 )217+$+21( E:B25 HA9@A <A7< D7H 4>257<2?F %:B22B 7 ;527< B27D 43 ?@92:<9J@ 9:N2?<9;7<94: 9:N4DN2? ?>2@93=9:; <A2 @4:B9<94:? E:B25 HA9@A >75<9@ED75 D7H? 4>257<2F $AE?U H2 89;A< ?7= <A7< #$ ('# 0'-'0 A27<9:; ,4*' H7<25 <4 &ZZ c) H9DD 7DH7=? @7E?2 H7<25 <4 C49DF
"D<25:7<9N2D=U <A2 D7H 89;A< C2 ?<7<2B 9: <A2 3458 43 R4<A25 <A9:;? C29:; 2KE7DT <A2: 6 H9DD 7DH7=? >54BE@2 5F " B2<2589:9?<9@ N25?94: 43 <A2 52D7<94:?A9> C2<H22: 57@2 7:B 9:@482 D2N2D H4EDB ?7= <A7< 4<A25 <A9:;? C29:; 2KE7D M7;2U 2BE@7<94:U >25?4:7D9<=U 26>2592:@2 2<@FO <A2: 7 HA9<2 >25?4: H9DD `7DH7=?a 275: 7 A9;A25 9:@482 <A7: 7 CD7@I >25?4:F $A7< 9?U 57@2 M6O @7E?2? 9:@482 D2N2D M5OF
[ $'( )*+$(,$ *- .(/%0+
/<7<2B D9I2 <A9? <A2 :4<94: 43 B2<2589:9?<9@ @7E?7<94: 9: <A2 ?4@97D ?@92:@2? ?4E:B? 4BBF %< 9? A75B <4 @4:@29N2 43 7 @A757@<259?<9@ 45 2N2:< <A7< H9DD 9:N7597CD= 52?ED< 9: 7 ;9N2: 4E<@482 2N2: 93 7 3795D= <9;A< ?2< 43 @4:B9<94:? 9? ?>2@9J2BF $A2 )2>,0'/+$% 43 AE87: ?4@97D C2A7N94E5 7:B <A2 (4:A')$+-'B >'#1+1?940 #17 -2041$#*+($+) @48>4:2:<? 43 AE87: C2A7N94E5 827: <A7< 9< H9DD :2N25 C2 >4??9CD2 <4 7559N2 7< @7E?7D ?<7<282:<? 43 <A2 <=>2 R%3 6U 7:B C 7:B DU <A2: 5 H9DD 7DH7=? 34DD4HFT
V4?< @7E?7D <A9:I9:; 9: <A2 ?4@97D ?@92:@2? 9? ,*2:#:+0+($+) 57<A25 <A7: 7'$'*>+1+($+) M/E>>2?U &WbZOF $A7< 9?U H2 H45I 7< <A2 D2N2D <A7< 7 ;9N2: 37@<45 9:@527?2? M45 B2@527?2?O <A2 >54C7C9D9<= 43 7 >75<9@ED75 4E<@482U 345 2678>D2L C29:; 3287D2 9:@527?2? <A2 >54C7C9D9<= 43 H45I9:; >75< <982d 57@2 7332@<? <A2 >54C7C9D9<= 43 A7N9:; 7 A9;A ?<7<E? e4CF
G2 @7: 98>54N2 >54C7C9D9?<9@ 26>D7:7<94:? C= ?>2@93=9:; @4:B9<94:? E:B25 HA9@A 6 9? D2?? D9I2D= 7:B 8452 D9I2D= <4 7332@< 5F 1E< H2 H9DD :2N25 7@A92N2 @48>D2<2 45 B2<2589:9?<9@ 26>D7:7<94:?F 'E87: C2A7N94E5 9? C4<A 3+00'7 7:B )#4('7L <A252 9? 7 B4ECD2S?9B2B @A757@<25 <4 AE87: ?4@97D C2A7N94E5F !24>D2 )21($*4)$ <A295 ?4@97D H45DB 7:B <A252 752 @527<9N2 7?>2@<? <4 AE87: 7@<94: CE< <A9? 3522B48 7:B 7;2:@= H9DD 7DH7=? C2 @4:?<579:2B C= <A2 ?<5E@<E52? H9<A9: HA9@A >24>D2 D9N2F 12@7E?2 C2A7NS 94E5 9? :4< ?98>D= B2<2589:2B H2 @7::4< 7@A92N2 B2<2589:9?<9@ 26>D7:7S <94:?F '4H2N25U C2@7E?2 C2A7N94E5 9? @4:?<579:2B H2 @7: 7@A92N2 >54C7C9D9?<9@ 26>D7:7<94:?F G2 @7: ?7= <A7< 7 ;9N2: 37@<45 H9DD 9:@527?2 <A2 D9I2D9A44B 43 7 ;9N2: 4E<@482 CE< <A252 H9DD :2N25 C2 @25<79:<= 7C4E< 4E<@482?F
.2?>9<2 <A2 >54C7C9D9?<9@ :7<E52 43 @7E?7D ?<7<282:<? 9: <A2 ?4@97D ?@92:@2?U 8E@A >4>ED75U 9B24D4;9@7D 7:B >4D9<9@7D B9?@4E5?2 <57:?D7<2? <A2?2 9:<4 B2<2589:9?<9@ ?<7<282:<?F -9:B9:;? 7C4E< <A2 @7E?7D 2332@<? 43 @D7??U ;2:B25 45 2<A:9@9<=U 345 2678>D2U 752 43<2: 527B 7? 93 <A2?2 37@<45? 9:N7597CD= 7:B @48>D2<2D= >54BE@2 >75<9@ED75 4E<@482?F *:2 @4EDB C2 345;9N2: 345 <A9:I9:; <A7< ?4@97D ?@92:@2 A7? B284:?<57<2B <A7< ;2:B25 @48>D2<2D= 7:B 9:N7597CD= B2<2589:2? >4?9<94: 9: ?4@92<=U 54D2? 9: 3789D92?U N7DE2? 7:B H7=? 43 52D7<9:; <4 4<A25 >24>D2F
$;.51< 4./426= 768 4;.51< 056/41>04256
"<<28><? <4 7:?H25 <A2 RHA=T KE2?<94:? 9: ?4@97D ?@92:@2 752 <A24592?F $A2?2 <A24592? N75= 9: <A295 )2>,0'/+$% MA4H 87:= N7597CD2? 7:B D9:I?OU #:($*#)$+21 7:B ()2,'F $4 E:B25?<7:B <A2 54D2 43 <A245= 9: 28>959@7D 52?275@A 9< 9? E?23ED <4 B9?<9:;E9?A C2<H22: <H4 B933252:< ?<=D2? 43 52?275@AL <A245= <2?<9:; 7:B <A245= CE9DB9:; M-9;E52 &FQOF
8"'2*% :4+07+1?
$A245= CE9DB9:; 9? 7 >54@2?? 9: HA9@A 52?275@A C2;9:? H9<A 4C?25N7<94:? 7:B E?2? +174)$+-' 527?4:9:; <4 B259N2 7 <A245= 3548 <A2?2 4C?25N7<94:?F
f G'"$ %/ #(/("#)' .(/%0+P
Theory building approach
Empirical Start level here
Obs 1 Obs 2 Obs 3 Obs 4
Inductive reasoning Conceptual-abstract level
Theory testing approach
Conceptual-abstract Start
Theory
level here
Empirical level Obs 1 Obs 2 Obs 3 Obs 4
-9;E52 &FQ 8"'2*% :4+07+1? #17 $"'2*% $'($+1? #,,*2#)"'( $2 *'('#*)"
$A2?2 <A24592? 7<<28>< <4 87I2 ?2:?2 43 4C?25N7<94:?F 12@7E?2 <A2 <A245= 9? >54BE@2B #9$'* 4C?25N7<94:? 752 87B2 9< 9? 43<2: @7DD2B ,2($ 9#)$4> <A245= MV25<4:U &WfXO 45 '/ ,2($ 9#)$2 <A2459Y9:;F
$A9? 3458 43 <A245= CE9DB9:; 2:<79D? 7?I9:; HA2<A25 <A2 4C?25N7<94: 9? # ,#*$+)40#* )#(' 29 # >2*' ?'1'*#0 9#)$2*U 45 A4H <A2 4C?25N7<94: E$( +1$2 # ,#$$'*1 2* # ($2*%F -45 2678>D2U .E5IA298 4C?25N2B <A7< <A2 ?E9@9B2 57<2 H7? A9;A25 784:; !54<2?<7:<? <A7: )7<A4D9@?F 1E< 9? 52D9;94E? 73JD97<94: 7 >75<9@ED75 @7?2 43 ?482<A9:; 8452 ;2:257DP *3 HA7< 8452 ;2:257D >A2:482:4: 89;A< 9< C2 7: 9:B9@7<45P "52 <A252 4<A25 4C?25N7<94:? <A7< ?A2B D9;A< 4: <A9?P '2 7D?4 4C?25N2B <A7< 82: H252 8452 ?E9@9B7D <A7: H482:U E5C7: BH2DD25? 8452 <A7: 5E57D BH2DD25? 7:B <A2 ?4@97DD= 84C9D2 8452 <A7: <A2 ?4@97DD= ?<7CD2F '2 75;E2B <A7< <A2 @4884: 37@<45 C2A9:B 7DD <A2?2 4C?25N7<94:? H7? <A7< <A4?2 ;54E>? HA4 H252 84?< ?E9@9B7D H252 7D?4 D2?? H2DD ?4@97DD= 9:<2;57<2B 7:B 26>2592:@2B ;527<25 78C9;E9<= 7C4E< A4H <4 C2A7N2 7:B HA7< 9? 59;A< 7:B H54:;F '2 <A2459Y2B <A7< 4:2 43 <A2 26>D7:7<94:? 345 ?E9@9B7D C2A7N94E5 H7? 7 ?2:?2 43 :458D2??:2?? ] 7 B9?@4::2@<2B:2?? 43 9:B9N9BE7D? 3548 <A295 ?4@97D H45DBF *3 @4E5?2U <A252 87= A7N2 C22: 4<A25 H7=? 43 7@@4E:<9:; 345 <A2?2 4C?25N7<94:? CE< 7< D27?< .E5IA298T? 26>D7:7<94: H7? @4:?9?<2:< H9<A <A2 37@<?F
8"'2*% $'($+1?
%: @4:<57?<U 7 <A245= <2?<9:; 7>>547@A :'?+1( H9<A 7 <A245= 7:B E?2? <A245= <4 ;E9B2 HA9@A 4C?25N7<94:? <4 87I2L 9< 84N2? 3548 <A2 ;2:257D <4 <A2 >75<9@ED75F $A2 4C?25N7<94:? ?A4EDB >54N9B2 7 <2?< 43 <A2 H45<A 43 <A2 <A245=F g?9:; 7'74)$+-' 527?4:9:; <4 B259N2 7 ?2< 43 >54>4?9<94:? 3548 <A2 <A245= B42? <A9?F G2 :22B <4 B2N2D4> <A2?2 >54>4?9<94:? ?4 <A7<
Deductive reasoning
Theory
b $'( )*+$(,$ *- .(/%0+
Parents divorced?
No Yes
Low (a) (b) Parental conflict
High (c) (d)
-9;E52 &F\ 8"' *'0#$+21("+, :'$3''1 7+-2*)' #17 ,#*'1$#0 )2190+)$
+9 $"' $"'2*% +( $*4' $"'1 )'*$#+1 $"+1?( ("2407 920023 9: <A2 527D H45DBF G2 <A2: 7??2?? HA2<A25 <A2?2 >52B9@<94:? 752 @4552@<F %3 <A2= 752 @4552@< <A2 <A245= 9? ?E>>45<2BF %3 <A2= B4 :4< A4DB E> <A2: <A2 <A245= :22B? <4 C2 29<A25 52e2@<2B 45 84B9J2BF
-45 2678>D2U H2 87= H9?A <4 <2?< <A2 <A245= <A7< 9< 9? :4< B9N45@2 9<?2D3 <A7< 7332@<? <A2 H2DDC29:; 43 @A9DB52: CE< <A2 D2N2D 43 @4:h9@< C2<H22: >752:<?F $4 <2?< <A9? 9B27 H2 @7: 87I2 >52B9@<94:? 7C4E< <A2 H2DDC29:; 43 @A9DB52: E:B25 B933252:< 3789D= @4:B9<94:?F -45 <A2 ?98>D2 <A245= <A7< 9< 9? >752:<7D @4:h9@< 57<A25 <A7: B9N45@2 <A7< 7332@<? 7 @A9DBT? H2DDC29:; <A252 752 34E5 C7?9@ R@4:B9<94:?T M?22 -9;E52 &F\OF -45 27@A R@4:B9<94:T <A2 <A245= H4EDB 87I2 B933252:< >52B9@<94:? 7C4E< <A2 D2N2D 43 @A9DB52:T? H2DDC29:; <A7< H2 @7: 26789:2F
%3 <A2 <A245= <A7< 9< 9? >752:<7D @4:h9@< 57<A25 <A7: >752:<7D B9N45@2 9? @4552@< <A2 34DD4H9:; >54>4?9<94:? ?A4EDB C2 ?E>>45<2BL
i F*2,2(+$+21 GH )"+07*'1 +1 (+$4#$+21( I#J #17 I:J 32407 :' 'K4#00% 3'00 299 $A7< 9?U HA252 >752:<7D @4:h9@< 9? D4HU @A9DB52: H9<A B9N45@2B >752:<? H9DD B4 eE?< 7? H2DD 7? <A4?2 HA4?2 >752:<? 752 875592BF
i F*2,2(+$+21 LH )"+07*'1 +1 (+$4#$+21( I)J #17 I7 J ("2407 :' 'K4#00% ,22*0% 299 $A7< 9?U @A9DB52: 9: @4:h9@<E7D @4E>D2 3789D92? H9DD B4 eE?< 7? C7BD= 7? @A9DB52: 9: >4?<SB9N45@2 3789D92? HA252 >752:<? ?E?<79: A9;A @4:h9@<F
i F*2,2(+$+21 MH )"+07*'1 +1 (+$4#$+21 I)J 3+00 72 32*(' $"#1 $"2(' +1 (+$4#$+21 I#J $A7< 9?U <A4?2 H9<A 875592B >752:<? 9: A9;A @4:h9@< H9DD B4 H45?2 <A7: <A4?2 HA4 A7N2 875592B >752:<? HA4 752 :4< 9: @4:h9@<F
i F*2,2(+$+21 NH )"+07*'1 +1 (+$4#$+21 I7 J 3+00 72 32*(' $"#1 $"2(' +1 (+$4#$+21 I:J $A7< 9?U <A4?2 H9<A B9N45@2B >752:<? 9: A9;A @4:h9@< H9DD B4 H45?2 <A7: <A4?2 HA4 A7N2 B9N45@2B >752:<? HA4 752 :4< 9: @4:h9@<F
i F*2,2(+$+21 OH )"+07*'1 +1 (+$4#$+21 I:J 3+00 72 :'$$'* $"#1 $"2(' +1 (+$4#$+21 I)J $A7< 9?U @A9DB52: H9<A B9N45@2B >752:<? HA4 752 :4< 9: @4:h9@< H9DD B4 C2<<25 <A7: <A4?2 H9<A 875592B >752:<? HA4 752 9: @4:h9@<F
i F*2,2(+$+21 PH )"+07*'1 +1 (+$4#$+21 I#J 3+00 72 :'$$'* $"#1 $"2(' +1 (+$4#$+21 I7 J $A7< 9?U @A9DB52: H9<A 875592B >752:<? HA4 752 :4< 9: @4:h9@< H9DD B4 C2<<25 <A7: <A4?2 H9<A B9N45@2B >752:<? HA4 752 9: @4:h9@<F
X G'"$ %/ #(/("#)' .(/%0+P
Starting point of theory testing
Theory
Implications for propositions
New theory
Inference
Analyse data
Deduction
Collect data
Starting point of theory building
-9;E52 &F^ 8"' 02?+) 29 $"' *'('#*)" ,*2)'((
+4 ?9:;D2 >54>4?9<94: H4EDB >54N9B2 7 @48>2DD9:; <2?< 43 <A2 459;9:7D <A245=F %:B22BU <7I2: 4: 9<? 4H: >54>4?9<94: \U 345 2678>D2U H4EDB 52N27D :4<A9:; 7C4E< <A2 98>7@< 43 B9N45@2F '4H2N25U <7I2: 7? 7 >7@IS 7;2U <A2 ('$ 43 >54>4?9<94:? >54N9B2? 7 ?<54:;25 <2?< 43 <A2 <A245= <A7: 7:= ?9:;D2 >54>4?9<94:F
"D<A4E;A <A245= <2?<9:; 7:B <A245= CE9DB9:; 752 43<2: >52?2:<2B 7? 7D<25:7<9N2 84B2? 43 52?275@A <A2= ?A4EDB C2 >75< 43 4:2 4:;49:; >54@2?? M-9;E52 &F^OF $=>9@7DD=U <A245= CE9DB9:; H9DD >54BE@2 7 >D7E?9CD2 7@@4E:< 45 26>D7:7<94: 43 7 ?2< 43 4C?25N7<94:?F '4H2N25U ?E@A 26>D7:7<94:? 752 352KE2:<D= eE?< 4:2 43 7 :E8C25 43 >4??9CD2 26>D7:7<94:? <A7< J< <A2 B7<7F GA9D2 >D7E?9CD2 <A2= 752 :4< :2@2??759D= @48>2DD9:;F $A2= 52KE952 ?=?<287<9@ <2?<9:; HA252 B7<7 752 @4DD2@<2B <4 ?>2@9J@7DD= 2N7DE7<2 A4H H2DD <A2 26>D7:7<94: A4DB? HA2: ?ECe2@<2B <4 7 57:;2 43 @5E@97D <2?<?F
!;74 2/ 1./.710; 8./2=6-
'4H 9? <A2 <258 R52?275@A B2?9;:T <4 C2 E?2B 9: <A9? C44IP ": 7:7D4;= 89;A< A2D>F GA2: @4:?<5E@<9:; 7 CE9DB9:; <A252 9? :4 >49:< 45B259:; 87<2597D? 45 ?2<<9:; @59<9@7D B7<2? 345 @48>D2<94: 43 >54e2@< ?<7;2? E:<9D H2 I:4H HA7< ?45< 43 CE9DB9:; 9? C29:; @4:?<5E@<2BF $A2 J5?< B2@9?94: 9? HA2<A25 H2 :22B 7 A9;A 59?2 43J@2 CE9DB9:;U 7 37@<45= 345 87:E37@<E59:; 87@A9:25=U 7 ?@A44DU 7 52?9B2:<97D A482 45 7: 7>75<82:< CD4@IF g:<9D <A9? 9? B4:2 H2 @7::4< ?I2<@A 7 >D7:U 4C<79: >2589<?U H45I 4E< 7 H45I ?@A2BED2 45 45B25 87<2597D?F
Propositions
Develop measures, sample etc.
W $'( )*+$(,$ *- .(/%0+
/989D75D=U ?4@97D 52?275@A :22B? 7 B2?9;: 45 7 ?<5E@<E52 C23452 B7<7 @4DD2@<94: 45 7:7D=?9? @7: @4882:@2F " 52?275@A B2?9;: 9? 12$ eE?< 7 H45I >D7:F " H45I >D7: B2<79D? HA7< A7? <4 C2 B4:2 <4 @48>D2<2 <A2 >54e2@< CE< <A2 H45I >D7: H9DD h4H 3548 <A2 >54e2@<T? 52?275@A B2?9;:F 8"' 941)$+21 29 # *'('#*)" 7'(+?1 +( $2 '1(4*' $"#$ $"' '-+7'1)' 2:$#+1'7 '1#:0'( 4( $2 #1(3'* $"' +1+$+#0 K4'($+21 #( 41#>:+?424(0% #( ,2((+:0'F *C<79:9:; 52D2N7:< 2N9B2:@2 2:<79D? ?>2@93=9:; <A2 <=>2 43 2N9B2:@2 :22B2B <4 7:?H25 <A2 52?275@A KE2?<94:U <4 <2?< 7 <A245=U <4 2N7DE7<2 7 >54;57882 45 <4 7@@E57<2D= B2?@59C2 ?482 >A2:482:4:F %: 4<A25 H45B?U HA2: B2?9;:9:; 52?275@A H2 :22B <4 7?IL ;9N2: <A9? 52?275@A KE2?<94: M45 <A245=OU HA7< <=>2 43 2N9B2:@2 9? :22B2B <4 7:?H25 <A2 KE2?<94: M45 <2?< <A2 <A245=O +1 # )21-+1)+1? 3#%P
#2?275@A B2?9;: RB27D? H9<A 7 02?+)#0 >54CD28 7:B :4< 7 02?+($+)#0 >54CD28T Mj9:U &WXWL QWOF 123452 7 CE9DB25 45 75@A9<2@< @7: B2N2D4> 7 H45I >D7: 45 45B25 87<2597D? <A2= 8E?< J5?< 2?<7CD9?A <A2 <=>2 43 CE9DB9:; 52KE952BU 9<? E?2? 7:B <A2 :22B? 43 <A2 4@@E>7:<?F $A2 H45I >D7: h4H? 3548 <A9?F /989D75D=U 9: ?4@97D 52?275@A <A2 9??E2? 43 ?78>D9:;U 82<A4B 43 B7<7 @4DD2@<94: M2F;F KE2?<94::7952U 4C?25N7<94:U B4@E82:< 7:7D=?9?OU B2?9;: 43 KE2?<94:? 752 7DD ?EC?9B975= <4 <A2 87<<25 43 RGA7< 2N9B2:@2 B4 % :22B <4 @4DD2@<PT
$44 43<2: 52?275@A25? B2?9;: KE2?<94::7952? 45 C2;9: 9:<25N92H9:; 375 <44 275D= ] C23452 <A9:I9:; <A54E;A HA7< 9:34587<94: <A2= 52KE952 <4 7:?H25 <A295 52?275@A KE2?<94:?F G9<A4E< 7<<2:B9:; <4 <A2?2 52?275@A B2?9;: 87<<25? 7< <A2 C2;9::9:;U <A2 @4:@DE?94:? B57H: H9DD :4587DD= C2 H27I 7:B E:@4:N9:@9:; 7:B 379D <4 7:?H25 <A2 52?275@A KE2?<94:F
&'(+?1 -'*(4( >'$"27
#2?275@A B2?9;: 9? B933252:< 3548 <A2 82<A4B C= HA9@A B7<7 752 @4DD2@<2BF V7:= 52?275@A 82<A4B? <26<? @4:3E?2 52?275@A B2?9;:? H9<A 82<A4B?F %< 9? :4< E:@4884: <4 ?22 52?275@A B2?9;: <527<2B 7? 7 84B2 43 B7<7 @4DD2@<94: 57<A25 <A7: 7? 7 D4;9@7D ?<5E@<E52 43 <A2 9:KE95=F 1E< <A252 9? :4<A9:; 9:<59:?9@ 7C4E< 7:= 52?275@A B2?9;: <A7< 52KE952? 7 >75<9@ED75 82<A4B 43 B7<7 @4DD2@<94:F "D<A4E;A @54??S?2@<94:7D ?E5N2=? 752 352S KE2:<D= 2KE7<2B H9<A KE2?<94::7952? 7:B @7?2 ?<EB92? 752 43<2: 2KE7<2B H9<A >75<9@9>7:< 4C?25N7<94: M2F;F GA=<2T? Q$*''$ R2*1'* Q2)+'$%U &W^\OU B7<7 345 7:= B2?9;: @7: C2 @4DD2@<2B H9<A 7:= B7<7 @4DD2@<94: 82<A4B M-9;E52 &F[OF '4H <A2 B7<7 752 @4DD2@<2B 9? 9552D2N7:< <4 <A2 02?+) 43 <A2 B2?9;:F
-79D9:; <4 B9?<9:;E9?A C2<H22: B2?9;: 7:B 82<A4B D27B? <4 >445 2N7DE7<94: 43 B2?9;:?F (KE7<9:; @54??S?2@<94:7D B2?9;:? H9<A KE2?<94:S :7952?U 45 @7?2 ?<EB92? H9<A >75<9@9>7:< 4C?25N7<94:U 827:? <A7< <A2 B2?9;:? 752 43<2: 2N7DE7<2B 7;79:?< <A2 ?<52:;<A? 7:B H27I:2??2? 43 <A2 82<A4B 57<A25 <A7: <A295 7C9D9<= <4 B57H 52D7<9N2D= E:78C9;E4E? @4:@DES ?94:? 45 <4 ?2D2@< C2<H22: 59N7D >D7E?9CD2 A=>4<A2?2?F
&Z G'"$ %/ #(/("#)' .(/%0+P
Design type Experiment Case study
Longitudinal design
Cross-sectional design
Method of data collection
Questionnaire Questionnaire Questionnaire Questionnaire
Interview Interview Interview Interview (structured or (structured or (structured or (structured or loosely loosely loosely loosely structured) structured) structured) structured)
Observation Observation Observation Observation
Analysis of Analysis of Analysis of Analysis of documents documents documents documents
Unobtrusive Unobtrusive Unobtrusive Unobtrusive methods methods methods methods
-9;E52 &F[ S'0#$+21("+, :'$3''1 *'('#*)" 7'(+?1 #17 ,#*$+)40#* 7#$# )200')$+21 >'$"27(
4-,)'%','%5# ,)$ 6-,+%','%5# "#.#,"&7
/989D75D=U B2?9;:? 752 43<2: 2KE7<2B H9<A KE7D9<7<9N2 7:B KE7:<9<7<9N2 52?275@A 82<A4B?F /4@97D ?E5N2=? 7:B 26>25982:<? 752 352KE2:<D= N92H2B 7? >5982 2678>D2? 43 KE7:<9<7<9N2 52?275@A 7:B 752 2N7DE7<2B 7;79:?< <A2 ?<52:;<A? 7:B H27I:2??2? 43 ?<7<9?<9@7DU KE7:<9<7<9N2 52?275@A 82<A4B? 7:B 7:7D=?9?F )7?2 ?<EB92?U 4: <A2 4<A25 A7:BU 752 43<2: ?22: 7? >5982 2678>D2? 43 KE7D9<7<9N2 52?275@A ] HA9@A 7B4><? 7: 9:<25>52<9N2 7>>547@A <4 B7<7U ?<EB92? R<A9:;?T H9<A9: <A295 @4:<26< 7:B @4:?9B25? <A2 ?ECe2@<9N2 827:9:;? <A7< >24>D2 C59:; <4 <A295 ?9<E7<94:F
%< 9? 2554:24E? <4 2KE7<2 7 >75<9@ED75 52?275@A B2?9;: H9<A 29<A25 KE7:<9<7<9N2 45 KE7D9<7<9N2 82<A4B?F j9: M&WW\OU 7 52?>2@<2B 7E<A459<= 4: @7?2 ?<EB= B2?9;:U A7? ?<52??2B <A2 9552D2N7:@2 43 <A2 KE7:<9<7<9N2k KE7D9<7<9N2 B9?<9:@<94: 345 @7?2 ?<EB92?F '2 >49:<? 4E< <A7<L
&& $'( )*+$(,$ *- .(/%0+
7 >49:< 43 @4:3E?94: F F F A7? C22: <A2 E:345<E:7<2 D9:I9:; C2<H22: <A2 @7?2 ?<EB= 82<A4B 7:B @25<79: <=>2? 43 B7<7 @4DD2@<94: ] 345 2678>D2 <A4?2 34@E?9:; 4: KE7D9<7<9N2 82<A4B?U 2<A:4;57>A=U 45 >75<9@9>7:< 4C?25N7<94:F !24>D2 A7N2 <A4E;A< <A7< <A2 @7?2 ?<EB= 82<A4B 52KE952B <A28 <4 28C57@2 <A2?2 B7<7 @4DD2@<94: 82<A4B? F F F *: <A2 @4:<575=U <A2 82<A4B B42? :4< 98>D= 7:= >75<9@ED75 3458 43 B7<7 @4DD2@<94: ] HA9@A @7: C2 KE7D9<7<9N2 45 KE7:<9<7<9N2F M&WW\L \QO
/989D75D=U V75?A M&WXQO 75;E2? <A7< KE7:<9<7<9N2 ?E5N2=? @7: >54N9B2 9:34587<94: 7:B 26>D7:7<94:? <A7< 752 R7B2KE7<2 7< <A2 D2N2D 43 827:9:;TF GA9D2 52@4;:9Y9:; <A7< ?E5N2= 52?275@A A7? :4< 7DH7=? C22: ;44B 7< <7>>9:; <A2 ?ECe2@<9N2 B982:?94: 43 C2A7N94E5U ?A2 75;E2? <A7<L
V7I9:; ?2:?2 43 ?4@97D 7@<94: F F F 9? F F F A75B 7:B ?E5N2=? A7N2 :4< <57B9<94:7DD= C22: N25= ;44B 7< 9<F $A2 275D92?< ?E5N2= 52?275@A25? ?<75<2B 7 <57B9<94: F F F 43 C59:;9:; <A2 827:9:; 3548 4E<?9B2U 29<A25 C= 87I9:; E?2 43 <A2 52?275@A25T? ?<4@I 43 >D7E?9CD2 26>D7:7<94:? F F F 45 C= C59:;9:; 9< 3548 ?EC?9B975= 9:SB2><A 9:<25N92H? ?>59:ID9:; KE4<2? F F F D9C257DD= 4: <A2 57H @4552D7<94:? B259N2B 3548 <A2 ?E5N2=F /E5N2= 52?275@A C2@782 8E@A 8452 26@9<9:; F F F HA2: 9< C2;7: 9:@DEB9:; 827:9:;3ED B982:?94:? 9: <A2 ?<EB= B2?9;:F `$A9? A7? C22: B4:2 9:a <H4 H7=?U J5?<D= `C=a 7?I9:; <A2 7@<45 29<A25 345 A25 527?4:? B952@<D=U 45 <4 ?E>>D= 9:34587<94: 7C4E< <A2 @2:<57D N7DE2? 9: A25 D932 754E:B HA9@A H2 87= 7??E82 ?A2 9? 4592:<9:; A25 D932F `$A9?a 9:N4DN2? @4DD2@<9:; 7 ?E3J@92:<D= @48>D2<2 >9@<E52 43 <A2 @4:<26< 9: HA9@A 7: 7@<45 J:B? A25?2D3 <A7< 7 <278 43 4E<?9B25? 87= 527B 433 <A2 827:9:;3ED B982:?94:?F M&WXQL &Q\]^O
C72,$+1? # ()',$+)#0 #,,*2#)" $2 '/,0#1#$+21(
$A2 :22B 345 52?275@A B2?9;: ?<28? 3548 7 ?@2><9@7D 7>>547@A <4 52?275@A 7:B 7 N92H <A7< ?@92:<9J@ I:4HD2B;2 8E?< 7DH7=? C2 >54N9?94:7DF $A2 >E5>4?2 43 52?275@A B2?9;: 9? <4 52BE@2 <A2 78C9;E9<= 43 8E@A 52?275@A 2N9B2:@2F
G2 @7: 7DH7=? J:B ?482 2N9B2:@2 @4:?9?<2:< H9<A 7D84?< 7:= <A245=F '4H2N25U H2 ?A4EDB C2 ?@2><9@7D 43 <A2 2N9B2:@2U 7:B 57<A25 <A7: ?22I9:; 2N9B2:@2 <A7< 9? )21(+($'1$ H9<A 4E5 <A245= H2 ?A4EDB ?22I 2N9B2:@2 <A7< >54N9B2? 7 )2>,'00+1? <2?< 43 <A2 <A245=F
$A252 752 <H4 52D7<2B ?<57<2;92? 345 B49:; <A9?L 2D989:7<9:; 59N7D 26>D7:7<94:? 43 <A2 2N9B2:@2 7:B B2D9C257<2D= ?22I9:; 2N9B2:@2 <A7< @4EDB 7+(,*2-' <A2 <A245=F
!+,-.%2+# "%5,+ 781('7#.#.
" 3E:B782:<7D ?<57<2;= 43 ?4@97D 52?275@A 9:N4DN2? 2N7DE7<9:; R>D7E?9CD2 59N7D A=>4<A2?2?TF G2 :22B <4 26789:2 7:B 2N7DE7<2 7D<25:7<9N2 H7=? 43 26>D79:9:; 7 >75<9@ED75 >A2:482:4:F $A9? 7>>D92? 52;75BD2?? 43 HA2<A25 <A2 B7<7 752 KE7:<9<7<9N2 45 KE7D9<7<9N2d 52;75BD2?? 43 <A2 >75<9@ED75 52?275@A B2?9;: M26>25982:<7DU @54??S?2@<94:7DU D4:;9<EB9:7D 45 @7?2
&Q G'"$ %/ #(/("#)' .(/%0+P
Causal relationship
AcademicSchool type achievement
Alternative explanation: selectivity on child’s initial ability
Child’s ability School type
Academic achievement
Alternative explanation: family resources
Facilities in home for studyParental
resources Academic
achievement School type
Alternative explanation: educational values
Child’s valuation of
Parental education Academic valuation of achievement education
School type
-9;E52 &Ff R#4(#0 #17 121T)#4(#0 '/,0#1#$+21( 29 $"' *'0#$+21("+, :'$3''1 ()"220 $%,' #17 #)#7'>+) #)"+'-'>'1$
?<EB=Od 7:B 52;75BD2?? 43 <A2 82<A4B 43 B7<7 @4DD2@<94: M2F;F 4C?25N7<94:U KE2?<94::7952OF *E5 89:B?2< :22B? <4 7:<9@9>7<2 7D<25:7<9N2 H7=? 43 9:<25>52<9:; J:B9:;? 7:B <4 52;75B 7:= 9:<25>52<7<94: 43 <A2?2 J:B9:;? 7? >54N9?94:7D ] ?ECe2@< <4 3E5<A25 <2?<9:;F
$A2 9B27 43 2N7DE7<9:; >D7E?9CD2 59N7D A=>4<A2?2? @7: C2 9DDE?<57<2B E?9:; <A2 2678>D2 43 <A2 @4552D7<94: C2<H22: <=>2 43 ?@A44D 7<<2:B2B 7:B 7@7B289@ 7@A92N282:<F V7:= >752:<? 7@@2>< <A2 @7E?7D >54>4?9<94: <A7< 7<<2:B7:@2 7< 322 >7=9:; >59N7<2 ?@A44D? 98>54N2? 7 @A9DBT? 7@7B289@ >2534587:@2 M-9;E52 &FfOF /@A44D? <A28?2DN2? >5484<2 <A2 ?782 :4<94: C= >5489:2:<D= 7BN25<9?9:; <A295 >7?? 57<2? 7:B @48>759:; <A28 H9<A <A4?2 43 4<A25 ?@A44D? 45 H9<A :7<94:7D 7N257;2?F 1= 98>D9@7<94: <A2= >54>4?2 7 @7E?7D @4::2@<94:L R/2:B =4E5 @A9DB <4 4E5 ?@A44D 7:B <A2= H9DD >7?? M45 ;2< ;57B2? <4 ;79: 2:<5= 9:<4 >52?<9;94E? 9:?<9<E<94:?U @4E5?2?OFT $A2 B7<7 <A2= >54N9B2 752 @4:?9?<2:< H9<A <A295 >54>4?9<94: <A7< <A2?2 ?@A44D? >54BE@2 C2<<25 52?ED<?F
&\ $'( )*+$(,$ *- .(/%0+
1E< <A2?2 B7<7 752 :4< @48>2DD9:;F $A252 752 7< D27?< <A522 4<A25 H7=? 43 7@@4E:<9:; 345 <A9? @4552D7<94: H9<A4E< 7@@2><9:; <A2 @7E?7D D9:I C2<H22: ?@A44D <=>2 7:B 7@A92N282:< M-9;E52 &FfOF $A252 9? <A2 ('0')$+-+$% 26>D7:7<94:L <A2 8452 7CD2 ?<EB2:<? 87= C2 ?2:< <4 322 >7=9:; >59N7<2 ?@A44D? 9: <A2 J5?< >D7@2F $A252 9? <A2 9#>+0% *'(24*)'( 26>D7:7<94:L >752:<? HA4 @7: 73345B <4 ?2:B <A295 @A9DB52: <4 322 >7=9:; >59N7<2 ?@A44D? @7: 7D?4 73345B 4<A25 A2D> M2F;F C44I?U >59N7<2 <E<459:;U KE92< ?<EB= ?>7@2U @48>E<25?OF %< 9? <A9? A2D> 57<A25 <A7: <A2 <=>2 43 ?@A44D <A7< >54BE@2? <A2 C2<<25 >2534587:@2 43 >59N7<2 ?@A44D ?<EB2:<?F -9:7DD=U <A252 9? <A2 3789D= -#04'( 26>D7:7<94:L >752:<? HA4 N7DE2 2BE@7<94: 84?< 752 >52>752B <4 ?2:B <A295 @A9DB52: <4 322 >7=9:; >59N7<2 ?@A44D? 7:B 9< 9? <A9? 3789D= 28>A7?9? 4: 2BE@7<94:U :4< <A2 ?@A44D? <A28?2DN2?U <A7< >54BE@2? <A2 C2<<25 7@7B289@ >2534587:@2F "DD <A2?2 26>D7:7<94:? 752 2KE7DD= @4:S ?9?<2:< H9<A <A2 4C?25N7<94: <A7< >59N7<2 ?@A44D ?<EB2:<? B4 C2<<25 <A7: ;4N25:82:< ?@A44D ?<EB2:<?F G9<A4E< @4DD2@<9:; 3E5<A25 2N9B2:@2 H2 @7::4< @A44?2 C2<H22: <A2?2 26>D7:7<94:? 7:B <A2523452 8E?< 52879: 4>2: 89:B2B 7C4E< HA9@A 4:2 87I2? 84?< 28>959@7D ?2:?2F
$A252 89;A< 7D?4 C2 82<A4B4D4;9@7D 26>D7:7<94:? 345 <A2 J:B9:; <A7< >59N7<2 ?@A44D ?<EB2:<? >253458 C2<<25 7@7B289@7DD=F $A2?2 82<A4B4D4S ;9@7D 9??E2? 89;A< E:B2589:2 7:= 75;E82:< <A7< 7 @7E?7D @4::2@<94: 269?<?F "52 <A2 52?ED<? BE2 <4 KE2?<94:7CD2 H7=? 43 827?E59:; 7@A92N2S 82:<P -548 HA7< 57:;2 7:B :E8C25 43 ?@A44D? H252 <A2 B7<7 4C<79:2BP *: A4H 87:= @7?2? 752 <A2 @4:@DE?94:? C7?2BP )4EDB <A2 >7<<25: ?98>D= C2 7 3E:@<94: 43 @A7:@2P $A2?2 752 7DD >4??9CD2 7D<25:7<9N2 26>D7:7<94:? 345 <A2 J:B9:; <A7< >59N7<2 ?@A44D ?<EB2:<? >253458 C2<<25F
044B 52?275@A B2?9;: H9DD 7:<9@9>7<2 @48>2<9:; 26>D7:7<94:? :'92*' @4DD2@<9:; B7<7 ?4 <A7< 52D2N7:< 9:34587<94: 345 2N7DE7<9:; <A2 52D7<9N2 8259<? 43 <A2?2 @48>2<9:; 26>D7:7<94:? 9? 4C<79:2BF %: <A9? 2678>D2 43 ?@A44D? 7:B 7@7B289@ 7@A92N282:<U <A9:I9:; 7C4E< 7D<25:7<9N2 >D7E?9CD2 A=>4<A2?2? C23452A7:B H4EDB D27B E? <4 J:B 4E< 7C4E< <A2 >752:<?T J:7:@97D 52?4E5@2?U <A2 ?<EB= 52?4E5@2? 7N79D7CD2 9: <A2 A482U <A2 >752:<?T 7:B @A9DBT? 7<<9<EB2? 7C4E< 2BE@7<94: 7:B <A2 @A9DBT? 7@7B289@ 7C9D9<92? C23452 2:<259:; <A2 ?@A44DF
8"' 9#00#)% 29 #9E*>+1? $"' )21('K4'1$ "D<A4E;A 2N9B2:@2 87= C2 @4:S ?9?<2:< H9<A 7: 9:9<97D >54>4?9<94: 9< 89;A< C2 2KE7DD= @4:?9?<2:< H9<A 7 57:;2 43 7D<25:7<9N2 >54>4?9<94:?F $44 43<2: >24>D2 B4 :4< 2N2: <A9:I 43 <A2 7D<25:7<9N2 A=>4<A2?2? 7:B ?98>D= @4:@DEB2 <A7< ?9:@2 <A2 2N9B2:@2 9? @4:?9?<2:< H9<A <A295 <A245= <A2: <A2 <A245= 9? <5E2F $A9? 3458 43 527?4:9:; @4889<? <A2 D4;9@7D 9#00#)% 29 #9E*>+1? $"' )21('K4'1$F $A9? 3458 43 527?4:9:; A7? <A2 34DD4H9:; D4;9@7D ?<5E@<E52L
%3 " 9? <5E2 <A2: 1 ?A4EDB 34DD4HF i i
G2 4C?25N2 1F i $A2523452 " 9? <5E2F
&^ G'"$ %/ #(/("#)' .(/%0+P
%3 H2 7>>D= <A9? D4;9@ <4 <A2 <=>2 43 ?@A44D 7:B 7@A92N282:< >54>4?9<94:U <A2 D4;9@7D ?<5E@<E52 43 <A2 ?@A44D <=>2 7:B 7@A92N282:< 75;E82:< C2@482? @D27525F
%:9<97D >54>4?9<94:L
i !59N7<2 ?@A44D? >54BE@2 C2<<25 ?<EB2:<? <A7: B4 ;4N25:82:< ?@A44D?F
$A2 <2?<L
i U9 C $"'1 D %3 >59N7<2 ?@A44D? >54BE@2 C2<<25 ?<EB2:<? M"O <A2: <A295 ?<EB2:<? ?A4EDB ;2< C2<<25 J:7D 875I? <A7: <A4?2 3548 ;4N25:82:< 3E:B2B ?@A44D? M1OF
i D +( $*4' !59N7<2 ?@A44D ?<EB2:<? B4 7@A92N2 C2<<25 J:7D 875I? <A7: ;4N25:82:< ?@A44D ?<EB2:<? M4C?25N2 1OF
i 8"'*'92*' C +( $*4' $A2523452 >59N7<2 ?@A44D? B4 >54BE@2 C2<<25 ?<EB2:<? M" 9? <5E2OF
1E< 7? % A7N2 7D527B= 75;E2BU <A2 C2<<25 >2534587:@2 43 >59N7<2 ?@A44D ?<EB2:<? 89;A< 7D?4 52h2@< <A2 2332@< 43 4<A25 37@<45?F $A2 >54CD28 A252 9? <A7< 7:= :E8C25 43 26>D7:7<94:? 87= C2 @4552@< 7:B <A2 2N9B2:@2 B42? :4< A2D> 5ED2 4E< 87:= 43 <A2?2F -45 <A2 ?4@97D ?@92:<9?< <A9? D2N2D 43 9:B2<2589:7@= 9? KE9<2 E:?7<9?37@<45=F %: 2332@< H2 752 4:D= 9: 7 >4?9<94: <4 ?7=L
i %3 " `45 )U 45 .U 45 (U 45 -U 45 F F Fa <A2: 1F i G2 4C?25N2 1F i $A2523452 " `45 )U 45 .U 45 (U 45 -U 45 F F Fa 9? <5E2F
"D<A4E;A 26>D7:7<94: M"O 9? ?<9DD 9: <A2 5E::9:; C2@7E?2 9< 9? @4:?9?<2:< H9<A <A2 4C?25N7<94:?U H2 @7::4< ?7= <A7< 9< 9? <A2 84?< >D7E?9CD2 26>D7:7<94:F G2 :22B <4 <2?< 4E5 >54>4?9<94: 8452 <A454E;AD= C= 2N7DE7<9:; <A2 H45<A 43 <A2 7D<25:7<9N2 >54>4?9<94:?F
9,+.%:&,'%(); +((<%)= 3(" #5%$#)&# '( $%.1"(5# '7# '7#("8
"? H2DD 7? 2N7DE7<9:; 7:B 2D989:7<9:; 7D<25:7<9N2 26>D7:7<94:? H2 ?A4EDB 59;454E?D= 2N7DE7<2 4E5 4H: <A24592?F #7<A25 <A7: 7?I9:; RGA7< 2N9B2:@2 H4EDB @4:?<9<E<2 ?E>>45< 345 <A2 <A245=PTU 7?I RGA7< 2N9B2:@2 H4EDB @4:N9:@2 82 <A7< <A2 <A245= 9? 3*21?PT %< 9? :4< B93J@ED< <4 J:B 2N9B2:@2 @4:?9?<2:< H9<A 7 <A245=F %< 9? 8E@A <4E;A25 345 7 <A245= <4 ?E5N9N2 <A2 <2?< 43 >24>D2 <5=9:; <4 B9?>54N2 9<F
g:345<E:7<2D= ?482 <A24592? 752 @D4?2B ?=?<28? 9: HA9@A 7:= 2N9B2:@2 @7: C2 9:<25>52<2B 7? ?E>>45< 345 <A2 <A245=F /E@A <A24592? 752 ?79B <4 C2 :4:S37D?9J7CD2F V7:= 52D9;94:? 45 C2D923 ?=?<28? @7: C2@482 @D4?2B ?=?<28? HA252C= 7DD 2N9B2:@2 @7: C2 7@@4884B7<2B C= <A2 <A245= 7:B
&[ $'( )*+$(,$ *- .(/%0+
:4<A9:; H9DD @A7:;2 <A2 89:B 43 <A2 <5E2 C2D92N25F (6@A7:;2 <A245= M'487:?U &Wf&d 1D7EU &Wf^O 9? D75;2D= :4:S37D?9J7CD2F %< 7??E82? <A7< H2 7DH7=? 876989Y2 4E5 ;79:? 7:B 7N49B @4?<?F 1E< H2 @7: ?22 7D84?< 7:=<A9:; 7? 7 ;79:F 0527< ?7@59J@2? <4 @752 345 7 B9?7CD2B 52D7<9N2 @7: C2 9:<25>52<2B 7? 7 ;79: M?7<9?37@<94: 43 A2D>9:;O 57<A25 <A7: 7 D4?? M9:@482U <982 345 ?2D3 2<@FOF G2 :22B <4 35782 4E5 >54>4?9<94:? 7:B B2J:2 4E5 <258? 9: ?E@A 7 H7= <A7< <A2= 752 @7>7CD2 43 C29:; B9?>54N2:F
>7# 1"(5%.%(),+ ),'-"# (3 .-11("' 3(" '7#("%#.
(N2: HA252 <A2 <A245= 9? @4554C457<2B 7:B A7? ?E5N9N2B 7<<28><? <4 B9?>54N2 9<U <A2 <A245= 52879:? >54N9?94:7DL
37D?9J@7<94:9?8 ?<52??2? <A2 78C9;E9<= 43 @4:J587<94: F F F @4554C457<94: ;9N2? 4:D= <A2 @48345< <A7< <A2 <A245= A7? C22: <2?<2B 7:B ?E5N9N2B <A2 <2?<U <A7< 2N2: 73<25 <A2 84?< 98>52??9N2 @4554C457<94:? 43 >52B9@<94:? 9< A7? 4:D= 7@A92N2B <A2 ?<7<E? 43 R:4< =2< B9?@4:J582BTF $A9? F F F 9? 375 3548 <A2 ?<7<E? 43 RC29:; <5E2TF M)44I 7:B )78>C2DDU &WbWL QZO
$A252 7DH7=? 87= C2 7: E:<A4E;A<S43 26>D7:7<94:F G2 @7::4< 7:<9@9>7<2 45 2N7DE7<2 2N25= >4??9CD2 26>D7:7<94:F $A2 8452 7D<25:7<9N2 26>D7:7S <94:? <A7< A7N2 C22: 2D989:7<2B 7:B <A2 8452 H2 A7N2 <592B <4 B9?>54N2 4E5 <A245=U <A2 8452 @4:JB2:@2 H2 H9DD A7N2 9: 9<U CE< H2 ?A4EDB 7N49B <A9:I9:; <A7< 9< 9? ,*2-'1F
'4H2N25 H2 @7: 7+(,*2-' 7 <A245=F $A2 D4;9@ 43 <A9? 9?L
i %3 <A245= " 9? <5E2 <A2: 1 ?A4EDB 34DD4HF i 1 B42? 12$ 34DD4HF i $A2523452 " 9? :4< <5E2F
/4 D4:; 7? 1 9? 7 N7D9B <2?< 43 " <A2 7C?2:@2 43 1 ?A4EDB 87I2 E? 52e2@< 45 52N9?2 <A2 <A245=F %: 527D9<=U H2 H4EDB :4< 52e2@< 7 <A245= ?98>D= C2@7E?2 7 ?9:;D2 37@< 45 4C?25N7<94: B42? :4< J<F 123452 52e2@<9:; 7 >D7E?9CD2 <A245= H2 H4EDB 52KE952 8ED<9>D2 B9?@4:J587<94:? E?9:; B933252:< 827?E52?U B933252:< ?78>D2? 7:B B933252:< 82<A4B? 43 B7<7 @4DD2@<94: 7:B 7:7D=?9?F
%: ?E8875=U H2 ?A4EDB 7B4>< 7 ?@2><9@7D 7>>547@A <4 26>D7:7<94:?F G2 ?A4EDB 7:<9@9>7<2 59N7D 9:<25>52<7<94:? 7:B @4DD2@< B7<7 <4 2:7CD2 <A2 H9::4H9:; 4E< 43 <A2 H27I25 26>D7:7<94:? 7:B <A2 9B2:<9J@7<94: 43 HA9@A 7D<25:7<9N2 <A24592? 87I2 84?< 28>959@7D ?2:?2F G2 7D?4 :22B <4 7?I HA7< B7<7 H4EDB @A7DD2:;2 <A2 26>D7:7<94: 7:B @4DD2@< B7<7 <4 2N7DE7<2 <A2 <A245= 3548 <A9? 8452 B287:B9:; >25?>2@<9N2F
&f G'"$ %/ #(/("#)' .(/%0+P
&>??71<
$A9? @A7><25 A7? 4E<D9:2B <A2 >E5>4?2 43 52?275@A B2?9;: 9: C4<A B2?@59>S <9N2 7:B 26>D7:7<45= 52?275@AF %: 26>D7:7<45= 52?275@A <A2 >E5>4?2 9? <4 B2N2D4> 7:B 2N7DE7<2 @7E?7D <A24592?F $A2 >54C7C9D9?<9@ :7<E52 43 @7E?7<94: 9: ?4@97D ?@92:@2?U 7? 4>>4?2B <4 B2<2589:9?<9@ @7E?7<94:U H7? B9?@E??2BF
#2?275@A B2?9;: 9? :4< 52D7<2B <4 7:= >75<9@ED75 82<A4B 43 @4DD2@<9:; B7<7 45 7:= >75<9@ED75 <=>2 43 B7<7F ":= 52?275@A B2?9;: @7:U 9: >59:@9>D2U E?2 7:= <=>2 43 B7<7 @4DD2@<94: 82<A4B 7:B @7: E?2 29<A25 KE7:<9<7<9N2 45 KE7D9<7<9N2 B7<7F #2?275@A B2?9;: 52325? <4 <A2 ($*4)$4*' 43 7: 2:KE95=L 9< 9? 7 D4;9@7D 87<<25 57<A25 <A7: 7 D4;9?<9@7D 4:2F
%< A7? C22: 75;E2B <A7< <A2 @2:<57D 54D2 43 52?275@A B2?9;: 9? <4 89:989Y2 <A2 @A7:@2 43 B57H9:; 9:@4552@< @7E?7D 9:3252:@2? 3548 B7<7F .2?9;: 9? 7 D4;9@7D <7?I E:B25<7I2: <4 2:?E52 <A7< <A2 2N9B2:@2 @4DD2@<2B 2:7CD2? E? <4 7:?H25 KE2?<94:? 45 <4 <2?< <A24592? 7? E:78C9;E4E?D= 7? >4??9CD2F GA2: B2?9;:9:; 52?275@A 9< 9? 2??2:<97D <A7< H2 9B2:<93= <A2 <=>2 43 2N9B2:@2 52KE952B <4 7:?H25 <A2 52?275@A KE2?<94: 9: 7 @4:N9:@9:; H7=F $A9? 827:? <A7< H2 8E?< :4< ?98>D= @4DD2@< 2N9B2:@2 <A7< 9? @4:S ?9?<2:< H9<A 7 >75<9@ED75 <A245= 45 26>D7:7<94:F #2?275@A :22B? <4 C2 ?<5E@<E52B 9: ?E@A 7 H7= <A7< <A2 2N9B2:@2 7D?4 C275? 4: 7D<25:7<9N2 59N7D 26>D7:7<94:? 7:B 2:7CD2? E? <4 9B2:<93= HA9@A 43 <A2 @48>2<9:; 26>D7:7S <94:? 9? 84?< @48>2DD9:; 28>959@7DD=F %< 7D?4 827:? <A7< H2 8E?< :4< ?98>D= D44I 345 2N9B2:@2 <A7< ?E>>45<? 4E5 37N4E59<2 <A245=L H2 ?A4EDB 7D?4 D44I 345 2N9B2:@2 <A7< A7? <A2 >4<2:<97D <4 B9?>54N2 4E5 >5232552B 26>D7:7<94:?F
