Transforming textbook activities into successful tasks

7UDQVIRUPLQJ WH[WERRN DFWLYLWLHVLQWR VXFFHVVIXO WDVNV 3DXO:LFNLQJ 0HLMR8QLYHUVLW\

5HIHUHQFHGDWD :LFNLQJ3 7UDQVIRUPLQJWH[WERRNDFWLYLWLHVLQWRVXFFHVVIXOWDVNV,Q$06WRNH(G -$/7 &RQIHUHQFH3URFHHGLQJV7RN\R-$/7

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最近、task-based language teaching (TBLT) が言語学習の授業に効果があるのではないかと注目されている。しかし、日 本の教育の現状ではTBLTを実践するには様々な難題、課題がある。この論文は日本の大学のクラスルームのなかに日本の社 会的、文化的な要因がどう影響しているかについて論じている。この日本の社会的、文化的な分析を元にTBLTを行うにあたり ４つの実践的な方法を勧める。

7

+(7(62/ÀHOGKDVIRUPDQ\\HDUVEHHQH[FLWHGDERXWFRPPXQLFDWLYHODQJXDJHWHDFK LQJ&/7 DVWKHSUHPLHUPHDQVE\ZKLFKVWXGHQWVFDQHIIHFWLYHO\VWXG\DQGDFTXLUH VHFRQGODQJXDJHVNLOOV3HUKDSVWKHPRVWLQÁXHQWLDOEUDQFKWRJURZRXWRI&/7LVWDVN EDVHGODQJXDJHWHDFKLQJ7%/7 0DQ\FRQWHPSRUDU\FRXUVHERRNVFODLPWREHIXOO\RUSDUWO\ WDVNEDVHGFODVVURRPUHVHDUFKLVLQFUHDVLQJO\WXUQLQJLWVDWWHQWLRQWRWDVNVDQGWDVNEDVHG V\OODEXVHVDUHPDNLQJWKHLUZD\LQWR(QJOLVKIDFXOWLHVWKHZRUOGRYHU

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·VPRUH PRVWVWDQGDUGFRXUVHERRNVXVHGLQFODVVURRPVDUHVWUXFWXUHGLQVXFKDZD\DVWRPDNH7%/7 GLIÀFXOW²HYHQWKRVHFRXUVHERRNVWKDWFODLPWKHHSLWKHW´WDVNEDVHGµ

-$/7&21)(5(1&(352&((',1*6 21/,1(

W35(9,2863$*(

1(;73$*(X

)8//6&5((1



:,&.,1*‡75$16)250,1*7(;7%22.$&7,9,7,(6,17268&&(66)8/7$6.6

,WLVKRSHGWKDWWKLVSDSHUZLOOEHRIXVHWRWHDFKHUVLQ-DSDQ ZKRZDQWWRDGDSWVWDQGDUGFRXUVHERRNVWRPDNHWKHLUOHVVRQV WUXO\WDVNEDVHG)LUVWDJUHDWHUXQGHUVWDQGLQJRIWKHWKHRU\ DQGUHVHDUFKEHKLQG7%/7ZLOOKHOSHQDEOHWKHPWRPDNHWKH WUDQVLWLRQWRWDVNEDVHGWHDFKLQJZKLOHDGHHSHUDZDUHQHVVRI WKHXQLTXHVRFLRFXOWXUDOFRQGLWLRQVWKDWPDNHXSWKH-DSDQHVH XQLYHUVLW\ZLOODLGLQWKHHIIHFWLYHLPSOHPHQWDWLRQRI7%/7LQ WKHLUFODVVURRPV

:KDWLVDWDVN" )LUVWZHQHHGWRFRQVLGHUWKHGHÀQLWLRQRIWDVN:KLOHWKHUHLV EURDGDJUHHPHQWDVWRWKHJHQHUDOFKDUDFWHULVWLFVRIWDVNVWKHUH LVVRPHFRQWHQWLRQFRQFHUQLQJWKHVSHFLÀFGHÀQLWLRQRIDWDVN /RQJ WDNHVDEURDGYLHZWKDWGHÀQHVDWDVNDVDQ\NLQG RIDFWLYLW\VRPHWKLQJWKDWLV´GRQHµ.XPDUDYDGLYHOX  YLHZVWDVNVDVFXUULFXODUFRQWHQWUDWKHUWKDQPHWKRGRORJLFDO FRQVWUXFWZKLOH1XQDQ VHHVWKHIRFXVRQPHDQLQJDV SDUDPRXQW7HDFKHUVLQ-DSDQZKRQHHGDSUDFWLFDOZRUNLQJ GHÀQLWLRQRIDWDVNWKDWKHOSVWKHPSODQDQGRUJDQL]HFODVV URRPDFWLYLWLHVZRXOGEHEHWWHUVHUYHGE\6NHKDQ ZKR GHÀQHVWDVNDVDQDFWLYLW\LQZKLFKD PHDQLQJLVSULPDU\E  WKHUHLVVRPHFRPPXQLFDWLRQSUREOHPWRVROYHF WKHUHLVVRPH VRUWRIUHODWLRQVKLSWRFRPSDUDEOHUHDOZRUOGDFWLYLWLHVG WDVN FRPSOHWLRQKDVVRPHSULRULW\DQGH WKHDVVHVVPHQWRIWKHWDVN LVLQWHUPVRIRXWFRPH7R6NHKDQ·VÀYHFULWHULDMXVWPHQWLRQHG ,ZRXOGDGGRQHPRUHI DWDVNLVDZRUNSODQ

,QRUGHUIRUWKLVWRWDNHSODFHWKHUHVKRXOGEHVRPHNLQGRI FRPPXQLFDWLRQSUREOHPWRVROYHE IRUH[DPSOHDQLQIRUPD WLRQJDS:KLOHWKHOHDUQHUVDUHIRFXVHGRQVROYLQJWKHSUREOHP WKH\DUHWHFKQLFDOO\IUHHWRXVHZKDWHYHUOLQJXLVWLFPHDQVWKH\ KDYHWRVROYHWKDWSUREOHP+RZHYHULWLVQDWXUDOWKDWFHUWDLQ ODQJXDJHIRUPVZLOOEHPRUHXVHIXOWKDQRWKHUVLQFRPSOHWLQJ WKDWWDVN 7KLVSUREOHPWKDWQHHGVVROYLQJVKRXOGEHLQVRPHZD\ UHODWHGWRFRPSDUDEOHUHDOZRUOGDFWLYLWLHVF 7KHWDVNPD\ UHSUHVHQWDQDFWXDOUHDOZRUOGDFWLYLW\HJZULWLQJDUHDOMRE DSSOLFDWLRQOHWWHU RULWPD\EHDUWLÀFLDOHJGUDZLQJDSLFWXUH RI\RXUSDUWQHU·VIDPLO\ +RZHYHUWKHSURFHVVHVRIODQJXDJH XVHWKDWUHVXOWIURPSHUIRUPLQJWKHWDVNVKRXOGFORVHO\UHODWHWR WKRVHLQWKHUHDOZRUOG,QDQLGHDOVLWXDWLRQWDVNVVKRXOGEHGH VLJQHGDORQJVLGHDQHHGVDQDO\VLVVXUYH\VRWKDWWKHUHDOZRUOG DFWLYLWLHVUHSUHVHQWHGE\WKHWDVNVUHODWHFORVHO\WRVWXGHQWV· ODQJXDJHJRDOV

7KHFRPSOHWLRQRIWKHWDVNPXVWKDYHVRPHSULRULW\G VRWKDW VWXGHQWVUHPDLQIRFXVHGDQGPRWLYDWHGWRSHUVLVWXQWLOWKHWDVN LVFRPSOHWHG:LWKRXWWKLVPRWLYDWLRQWKHUHLVDUHDOGDQJHUWKDW VWXGHQWVZLOOJHWRIIWDVNDQGWKHDFWLYLW\ZLOOFROODSVH$OVRWKH DVVHVVPHQWRIVWXGHQWV·SHUIRUPDQFHPXVWEHLQWHUPVRIRXWFRPH H 7KLVRXWFRPHLVQRQOLQJXLVWLFDQGWKHUHIRUHLUUHVSHFWLYHRI ODQJXDJHIRUPVXVHGE\WKHOHDUQHUV2QHPXVWDOVREHDZDUHRI WKHGLIIHUHQFHEHWZHHQDQ´RXWFRPHµZKLFKLVZKDWWKHOHDUQHUV DUHZRUNLQJWRDFKLHYHDQGDQ´DLPµZKLFKLVWKHSHGDJRJLFDO SXUSRVHRIWKHWDVN)RUH[DPSOHDQRXWFRPHPLJKWEHDOLVWRI $FFRUGLQJWRWKLVGHÀQLWLRQD PHDQLQJLVSULPDU\$OWKRXJK FLWLHVWKDW\RXUSDUWQHUKDVYLVLWHGWKLV\HDUZKLOHWKHDLPLVWR DVZLOOEHDUJXHGODWHU IRUPIRFXVHGDFWLYLWLHVKDYHDQLP XVHWKHSUHVHQWSHUIHFWWHQVHWRDVNTXHVWLRQVDQGGHVFULEHH[SHUL SRUWDQWUROHWRSOD\LQODQJXDJHLQVWUXFWLRQWKHOHDUQHUV·IRFXV HQFHV7KHVWXGHQWVQHHGQRWEHDZDUHRIWKHDLPDQGDFWXDOO\ PXVWSULPDULO\EHXSRQWKHFRPPXQLFDWLRQRIPHDQLQJ,Q PD\EHEHWWHUVHUYHGLIWKH\UHPDLQXQDZDUH$QDZDUHQHVVRI RWKHUZRUGVWKH(QJOLVKWKDWVWXGHQWVSURGXFHLQWKHFODVVURRP WKHDLPPD\RQO\VHUYHWRGHWUDFWIURPWKHIRFXVRQPHDQLQJ VKRXOGEHXVHGWRFRQYH\PHDQLQJUDWKHUWKDQMXVWGHPRQVWUDWH ,WVKRXOGDOVREHUHFRJQL]HGWKDWWKHFRQFHSWXDOL]DWLRQDQG WKHFRUUHFWXVHRIJUDPPDURUYRFDEXODU\ SODQQLQJRIDWDVNPD\EHTXLWHGLIIHUHQWIURPKRZWKHWDVNLV

-$/7&21)(5(1&( 352&((',1*6

21/,1(

W35(9,2863$*(

1(;73$*(X

)8//6&5((1



:,&.,1*‡75$16)250,1*7(;7%22.$&7,9,7,(6,17268&&(66)8/7$6.6

DFWXDOO\SHUIRUPHGE\WKHVWXGHQWVLQWKHFODVVURRPVHWWLQJ 7KXVDÀQDOLPSRUWDQWFKDUDFWHULVWLFRIDWDVNLVI WKDWLWLVD ´ZRUNSODQµ7KLVWDNHVLQWRDFFRXQWWKHIDFWWKDWWDVNVGRQRW DOZD\VSURFHHGDVSODQQHGDQGWKDWWKH\DUHG\QDPLFDQGFDQ EHPRGLÀHGDQGDGDSWHGDVWKH\DUHEHLQJLPSOHPHQWHG

PXQLFDWLRQRIPHDQLQJLWSUHSDUHVVWXGHQWVWRWDFNOHUHDOOLIH ODQJXDJHSUREOHPVZKHQWKH\DULVHRXWVLGHWKHFODVVURRP

$WWKHULVNRISHUSHWXDWLQJDVWHUHRW\SHPDQ\QDWLYH(QJ OLVKVSHDNLQJWHDFKHUVKDYHWKHYLHZWKDW-DSDQHVHXQLYHUVLW\ VWXGHQWVDUHUHOXFWDQWWRSDUWLFLSDWHLQFRPPXQLFDWLYHFODVVURRP DFWLYLWLHV$QXPEHURIH[SODQDWLRQVKDYHEHHQSURIIHUHGIRUWKLV LQFOXGLQJVK\QHVV'R\RQ DSDWK\0F9HLJK IHDURI 7%/7DQGWKH-DSDQHVHVRFLRFXOWXUDOFRQWH[W QHJDWLYHHYDOXDWLRQ%URZQ DQGIHDURIPDNLQJPLVWDNHV (DFKFRXQWU\KDVDXQLTXH()/WHDFKLQJFRQWH[WZKLFKLQ .XULKDUD ,WLVDOVRSRVVLEOHWKDWWKHHGXFDWLRQDOFXOWXUH ÁXHQFHVHYHU\WKLQJWKDWJRHVRQLQWKHFODVVURRP,Q-DSDQ RI-DSDQPD\EHDWIDXOW+LVWRULFDOO\WKHWUDGLWLRQDOHGXFDWLRQ DWWLWXGHVWRZDUGV(QJOLVKDUHJHQHUDOO\SRVLWLYHDQGWKHUHLV V\VWHPLQ-DSDQHQFRXUDJHVFODVVURRPVHWXSVZKHUHVWXGHQWVDUH PXFKVXSSRUWIRU(QJOLVKHGXFDWLRQDWWKHOHYHORISXEOLFSROLF\ H[SHFWHGWRSDUWLFLSDWHSDVVLYHO\7KHUHLVDODFNRIFULWLFDOWKLQN $JRRG72(,&VFRUHLVDZHOFRPHDGGLWLRQWRDQ\&9ZKHQ LQJDQDYRLGDQFHRIFRQÁ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·V&RP DEOHWRFRQWULEXWHWRWKHGLUHFWLRQDQGIRFXVRIWKHLUODQJXDJH PLVVLRQRQ-DSDQ·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

-$/7&21)(5(1&( 352&((',1*6

21/,1(

W35(9,2863$*(

1(;73$*(X

)8//6&5((1



:,&.,1*‡75$16)250,1*7(;7%22.$&7,9,7,(6,17268&&(66)8/7$6.6

KDYHMXVWFRPSOHWHGDWOHDVW\HDUVRI(QJOLVKHGXFDWLRQLQ ZKLFKPRUHOLNHO\WKDQQRWWKHLUOHVVRQVZHUHIRUPIRFXVHG DQGWHDFKHUFHQWHUHG7KHGRPLQDQWPHWKRGRORJ\RIKLJK VFKRRO()/FODVVHVVWLOOUHPDLQVJUDPPDUWUDQVODWLRQGHVSLWH 0(;7RIÀ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·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· OHYHOVRIODQJXDJHDWWDLQPHQW,I7%/7GRHVDFWXDOO\UHVXOWLQ KLJKHUOHYHOVRIODQJXDJHFRPSHWHQF\ZKLOHDOVRERRVWLQJVWX GHQWPRWLYDWLRQDQGHQMR\PHQWWKHQWKDWZRXOGEHUHÁHFWHGLQ EHWWHUUHVXOWVRQVWXGHQWHYDOXDWLRQVXUYH\V

)RFXVRQIRUP $VWKHFHQWUDOFRPSRQHQWRI7%/7LVPHDQLQJIRFXVHGFRP PXQLFDWLRQVWXGHQWV·DWWHQWLRQVKRXOGEHGLUHFWHGDZD\IURPD IRFXVRQIRUP7KHH[FKDQJHRIPHDQLQJVKRXOGEHWKHKLJKHVW SULRULW\LQDWDVN+RZHYHUUHVHDUFKKDVUHYHDOHGWKDWDIRFXV RQIRUPDWVRPHSRLQWLQWKHOHVVRQZLOOOLNHO\UHVXOWLQOHDUQHUV DWWDLQLQJPXFKKLJKHUOHYHOVRIDFFXUDF\WKDQLIIRUPIRFXVHG DFWLYLWLHVDUHHQWLUHO\DEVHQW'RXJKW\ :LOOLDPV  $QRWKHUSXUHO\VRFLRFXOWXUDOUHDVRQIRUIRFXVLQJRQIRUPLV WKDWVWXGHQWVRIWHQH[SHFWLW0RVWIUHVKPDQ(QJOLVKVWXGHQWV

-$/7&21)(5(1&( 352&((',1*6

21/,1(

([DPSOHOHVVRQRQH/HVVRQDLP²WRSUDFWLFHGHVFULELQJ SHRSOH $FRPPRQWH[WERRNDFWLYLW\WKDWIROORZVDSUHVHQWDWLRQSUDF WLFHSHUIRUPDQFHVHTXHQFHDQGIRFXVHVRQIRUPPD\ORRNVRPH WKLQJOLNHWKLV)LUVWVWXGHQWVUHDGVRPHSK\VLFDOGHVFULSWLRQV RISHRSOH7KHQWKH\FRPSOHWHDJDSÀOOH[HUFLVHE\FKRRVLQJ FRUUHFWYHUEIRUPVZKHQGHVFULELQJSHRSOH/DVWO\VWXGHQWVDUH DVNHGWRZDONDURXQGWKHFODVVURRPZLWKDSLFWXUHRIDSHUVRQ DQGÀQGDVWXGHQWZLWKWKHVDPHSLFWXUHE\DVNLQJTXHVWLRQV

W35(9,2863$*(

1(;73$*(X

)8//6&5((1



:,&.,1*‡75$16)250,1*7(;7%22.$&7,9,7,(6,17268&&(66)8/7$6.6

´3OHDVHGUDZ\RXUSDUWQHU·VIDPLO\7KHQDVNTXHVWLRQVLQRUGHU ,QRUGHUWRWDNHVWXGHQWV·DWWHQWLRQDZD\IURPIRFXVLQJRQ WRÀQGÀYHGLIIHUHQFHVDQGÀYHVLPLODULWLHVLQ\RXUIDPLOLHV· IRUPDQGLQVWHDGFRQFHQWUDWHRQPHDQLQJWKHODVWVWDJHFRXOG EHGRQHÀUVW7KHQDVDZD\RIFRQVROLGDWLRQWKHJDSÀOOFRXOG GDLO\VFKHGXOHVµ EHGRQHDWWKHHQGDIWHUWKHWDVNKDVEHHQFRPSOHWHG7RIXUWKHU  H[WHQGZKDWKDVEHHQOHDUQHGVWXGHQWVFRXOGZULWHDSK\VLFDO 3ODQQLQJ GHVFULSWLRQRIDIDPRXVSHUVRQIRUKRPHZRUN /HDUQHUVRIWHQSURGXFHKLJKHUOHYHOVRIÁ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ÁRZRILQIRUPDWLRQ$OWKRXJKRQHZD\ WLRQDV-DSDQHVHVWXGHQWVRIWHQKDYHDKLJKOHYHORIODQJXDJH DQ[LHW\DQGDUHRIWHQUHOXFWDQWWRWDNHULVNVLQWKHFODVVURRPIRU WDVNVVHHPWRFRPHDORWHDVLHUWR-DSDQHVHVWXGHQWVWZRZD\ IHDURIEHLQJQHJDWLYHO\HYDOXDWHGSODQQLQJLQFUHDVHVFRQÀ WDVNVDSSHDUWREHPRUHHIÀFDFLRXVIRUODQJXDJHDFTXLVLWLRQ GHQFH%URZQ  /RQJ FODLPVWKDW´WZRZD\WDVNVSURGXFHPRUHQHJR WLDWLRQZRUNDQGPRUHXVHIXOQHJRWLDWLRQZRUNWKDQRQHZD\ WDVNVµFLWHGLQ(OOLVS 

([DPSOHOHVVRQWZR/HVVRQDLP²WRSUDFWLFHWDONLQJ DERXWPHPEHUVRI\RXUIDPLO\

([DPSOHOHVVRQWKUHH/HVVRQDLP²WRSUDFWLFHWDONLQJ DERXWSODFHVXVLQJWKHYHUE¶EH·

)DFH)DFH%HJLQQHU5HGVWRQ&XQQLQJKDP %HOOS  KDVWKHIROORZLQJDFWLYLW\RQWKHWRSLFRISODFHVDURXQGWRZQ ,Q3DVVSRUWDSRSXODUWH[WERRNXVHGLQ-DSDQDXQLWRQWKHWRSLF ´7DNHWXUQVDVNLQJDQGDQVZHULQJTXHVWLRQVDERXWSODFHVOLNH WKHVHLQ\RXUQHLJKERUKRRGDERRNVWRUHDJ\PGDQFHFOXEV RIIDPLO\HQGVZLWKWKHIROORZLQJDFWLYLW\´:RUNZLWKDSDUW GUXJVWRUHV«µ7KHQIROORZLQJWKHVHLQVWUXFWLRQVLVDQH[DPSOH QHU'UDZDSLFWXUHRI\RXUIDPLO\LQWKHER[EHORZ7HOO\RXU GLDORJXH SDUWQHUDERXW\RXUIDPLO\$VNTXHVWLRQVDERXW\RXUSDUWQHU·V IDPLO\µ%XFNLQJKDP /DQVIRUGS 7KHÀUVWVWDJH $,VWKHUHDJRRGERRNVWRUHLQ\RXUQHLJKERUKRRG" ´'UDZDSLFWXUHRI\RXUIDPLO\µ KDVQRLQIRUPDWLRQH[FKDQJH %« DWDOOZKLOHWKHVHFRQGDQGWKLUGVWDJHV´7HOO\RXUSDUWQHU $$QGDUHWKHUHDQ\GUXJVWRUHV" DERXW\RXUIDPLO\$VNTXHVWLRQVDERXW\RXUSDUWQHU·VIDPLO\µ  DUHRQO\RQHZD\H[FKDQJHV %« 7KLVDFWLYLW\FRXOGEHPDGHLQWRDQHIIHFWLYHWDVNE\HQVXU LQJWKDWWKHLQIRUPDWLRQH[FKDQJHZDVWZRZD\)RUH[DPSOH

-$/7&21)(5(1&( 352&((',1*6

21/,1(

7KLVDFWLYLW\KDVQRSODQQLQJWLPHEHIRUHVWXGHQWVEHJLQDQG LVDOVRYHU\WLJKWO\FRQWUROOHG,WLVOLNHO\WKDWWKLVZLOOUHVXOWLQD

W35(9,2863$*(

1(;73$*(X

)8//6&5((1



:,&.,1*‡75$16)250,1*7(;7%22.$&7,9,7,(6,17268&&(66)8/7$6.6

PHUHPDQLSXODWLRQRIIRUPVZLWKRXWDQ\JHQXLQHFRPPXQLFD WLRQWDNLQJSODFH 7KLVDFWLYLW\FRXOGEHWUDQVIRUPHGLQWRDQHIIHFWLYHWDVNE\ SURYLGLQJEHWWHUXVHRISODQQLQJWLPH)RUH[DPSOH´F@ORVHGWDVNVSURGXFHPRUHQHJRWLDWLRQZRUNDQG PRUHXVHIXOQHJRWLDWLRQZRUNWKDQRSHQWDVNVµFLWHGLQ(OOLV S 1HJRWLDWLRQLQFOXGHVFODULÀFDWLRQUHTXHVWVFRQÀU PDWLRQFKHFNVVHOIH[SDQVLRQDQGJUHDWHUVHQWHQFHFRPSOH[LW\

([DPSOHOHVVRQIRXU/HVVRQDLP²WRSUDFWLFHODQJXDJH DVVRFLDWHGZLWKWUDYHO +HUHDUHWKHLQVWUXFWLRQVIRUDQDFWLYLW\IRXQGLQ:RUOG(QJOLVK 0LOQHUS ´7DONDERXWSDVWYDFDWLRQWULSV7DNHWXUQV ZLWKDSDUWQHUWHOOLQJDERXWDYDFDWLRQ\RXWRRNµ )RUDOOEXWWKHPRVWPRWLYDWHGVWXGHQWVWKLVDFWLYLW\ZRXOGEH XQOLNHO\WRVXFFHHG%\WUDQVIRUPLQJWKLVRSHQHQGHGDFWLYLW\ LQWRDFORVHGWDVNWKHFKDQFHVRIVXFFHVVZRXOGEHKLJKHU)RU H[DPSOH6WXGHQW$WKLQNVRIDYDFDWLRQKHVKHKDVWDNHQUH FHQWO\6WXGHQW%DVNVXSWRTXHVWLRQVLQRUGHUWRJXHVVZKHUH 6WXGHQW$ZHQW6WXGHQW%FDQQRWDVN´:KHUHGLG\RXJR"µ 6RPHWKLQJV\RXPD\OLNHWRDVNDERXWDUHWKHIRRGWKHGULQNV WKHIDPRXVDWWUDFWLRQVWKHZHDWKHUDQGVRRQ

&RQFOXVLRQ

7DVNEDVHGLQVWUXFWLRQLVDQLPSRUWDQWEUDQFKRIFRPPXQLFDWLYH ODQJXDJHWHDFKLQJWKDWKROGVJUHDWSURPLVHIRUWKH-DSDQHVHXQL YHUVLW\FODVVURRP7KHSRWHQWLDOIRU7%/7WRWUDQVIRUPVWXGHQWV FODVVURRPVDQGWKHZLGHUODQJXDJHOHDUQLQJFRPPXQLW\LVJUHDW LQGHHG+RZHYHUZLWKRXWVRPHXQGHUVWDQGLQJRIWKHWKHRU\ EHKLQG7%/7FRXSOHGZLWKDQDZDUHQHVVRIWKHVRFLRFXOWXUDO IDFWRUVWKDWLQÁXHQFHRXUFODVVURRPVPDQ\RIWKHEHQHÀ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

-$/7&21)(5(1&( 352&((',1*6

21/,1(

W35(9,2863$*(

1(;73$*(X

)8//6&5((1



:,&.,1*‡75$16)250,1*7(;7%22.$&7,9,7,(6,17268&&(66)8/7$6.6 *DVV6 9DURQLV( ,QSXWLQWHUDFWLRQDQGVHFRQGODQJXDJH SURGXFWLRQ6WXGLHVLQ6HFRQG/DQJXDJH$FTXLVLWLRQ 

$FNQRZOHGJHPHQW

*UDWHIXOWKDQNVWR/RUDQ(GZDUGVIRUPXFKDGYLFHDQGVXSSRUW +RIVWHGH* &XOWXUDOGLIIHUHQFHVLQWHDFKLQJDQGOHDUQLQJ,QWHU LQHGLWLQJWKLVSDSHU QDWLRQDO-RXUQDORI,QWHUFXOWXUDO5HODWLRQV .UDVKHQ6 3ULQFLSOHVDQGSUDFWLFHLQVHFRQGODQJXDJHDFTXLVLWLRQ 2[IRUG3HUJDPRQ3UHVV

%LRGDWD 3DXO:LFNLQJLVDOHFWXUHUDW0HLMR8QLYHUVLW\1DJR\D+LV UHVHDUFKLQWHUHVWVLQFOXGHWDVNEDVHGOHDUQLQJDQGODQJXDJH WHDFKLQJLGHRORJ\ZLFNLQJ#PHLMRXDFMS!

.XPDUDYDGLYHOX% 0D[LPL]LQJOHDUQLQJSRWHQWLDOLQWKHFRP PXQLFDWLYHFODVVURRP(/7-RXUQDO 

5HIHUHQFHV %XFNLQJKDP$ /DQVIRUG/ 3DVVSRUW(QJOLVKIRULQWHUQD WLRQDOFRPPXQLFDWLRQ2[IRUG2[IRUG8QLYHUVLW\3UHVV

/RQJ0 ,QSXWDQGVHFRQGODQJXDJHDFTXLVLWLRQWKHRU\,Q6 *DVV &0DGGHQ(GV ,QSXWLQVHFRQGODQJXDJHDFTXLVLWLRQSS  5RZOH\0DVV1HZEXU\+RXVH

%URZQ5$ /HDUQLQJFRQVHTXHQFHVRIIHDURIQHJDWLYHHYDOX DWLRQDQGPRGHVW\IRU-DSDQHVH()/VWXGHQWV7KH/DQJXDJH7HDFKHU  

0DWVXXUD+&KLED5 +LOGHUEUDQGW3 %HOLHIVDERXWOHDUQ LQJDQGWHDFKLQJFRPPXQLFDWLYH(QJOLVKLQ-DSDQ-$/7-RXUQDO  

%XUURZV& 6RFLRFXOWXUDOEDUULHUVIDFLQJ7%/LQ-DSDQ7KH /DQJXDJH7HDFKHU 

0F9HLJK%- +LJKHUHGXFDWLRQDSDWK\DQGSRVWPHULWRFUDF\ 7KH/DQJXDJH7HDFKHU 

&-*7&>3ULPH0LQLVWHU·V&RPPLVVLRQRQ-DSDQ·V*RDOVLQWKH7ZHQW\ )LUVW&HQWXU\@ 7KHIURQWLHUZLWKLQ,QGLYLGXDOHPSRZHUPHQWDQG EHWWHUJRYHUQDQFHLQWKHQHZPLOOHQQLXP²&KDSWHU2YHUYLHZ5HWULHYHG 1RYHPEHUIURPKWWSZZZNDQWHLJRMSMSFHQWXU\ UHSRUWSGIVLQGH[KWPO

0LOQHU0 :RUOG(QJOLVK%RVWRQ+HLQOH&HQJDJH/HDUQLQJ

'RXJKW\& :LOOLDPV-(GV  )RFXVRQIRUPLQFODVVURRPVHF RQGODQJXDJHDFTXLVLWLRQ&DPEULGJH&DPEULGJH8QLYHUVLW\3UHVV

.XULKDUD1 &ODVVURRPDQ[LHW\&KDQJHVLQVWXGHQWDWWLWXGHV LQDQRUDOFRPPXQLFDWLRQFODVVLQD-DSDQHVHVHQLRUKLJKVFKRRO7KH /DQJXDJH7HDFKHU 

0RQWJRPHU\& (LVHQVWHLQ0 5HDOUHDOLW\UHYLVLWHG$Q H[SHULPHQWDOFRPPXQLFDWLYHFRXUVHLQ(6/7(62/4XDUWHUO\   1LVKLQR7 :DWDQDEH0 &RPPXQLFDWLRQRULHQWHGSROLFLHV YHUVXVFODVVURRPUHDOLWLHVLQ-DSDQ7(62/4XDUWHUO\ 

1XQDQ' 7DVNEDVHGODQJXDJHWHDFKLQJ&DPEULGJH&DPEULGJH 8QLYHUVLW\3UHVV 'R\RQ3 6K\QHVVLQWKH-DSDQHVH()/FODVV:K\LWLVDSUREOHP ZKDWLWLVZKDWFDXVHVLWDQGZKDWWRGRDERXWLW7KH/DQJXDJH 5HGVWRQ&&XQQLQJKDP* %HOO- )DFH)DFH%HJLQQHU&DP 7HDFKHU  EULGJH&DPEULGJH8QLYHUVLW\3UHVV (DGHV- 5HIRUPLQJ-DSDQHVHKLJKHUHGXFDWLRQ%XUHDXFUDWVWKH 6NHKDQ3 $FRJQLWLYHDSSURDFKWRODQJXDJHOHDUQLQJ2[IRUG2[IRUG ELUWKUDWHDQGYLVLRQVRIWKHVWFHQWXU\5LWVXPHLNDQ-RXUQDORI$VLD 8QLYHUVLW\3UHVV 3DFLÀF6WXGLHV5HWULHYHG$SULOIURPKWWSUFXEH ULWVXPHLDFMSKDQGOH (OOLV5 6/$UHVHDUFKDQGODQJXDJHWHDFKLQJ2[IRUG2[IRUG8QL YHUVLW\3UHVV

-$/7&21)(5(1&( 352&((',1*6

21/,1(

W35(9,2863$*(

1(;73$*(X

)8//6&5((1



:,&.,1*‡75$16)250,1*7(;7%22.$&7,9,7,(6,17268&&(66)8/7$6.6 6ZDLQ0 7KUHHIXQFWLRQVRIRXWSXWLQVHFRQGODQJXDJHOHDUQ LQJ,Q*&RRN %6HLGOKRIHU(GV 3ULQFLSOHVDQGSUDFWLFHLQDSSOLHG OLQJXLVWLFV6WXGLHVLQKRQRXURI+*:LGGRZVRQ2[IRUG2[IRUG 8QLYHUVLW\3UHVV

7RULNDL. 7KHFKDOOHQJHRIODQJXDJHDQGFRPPXQLFDWLRQLQ WZHQW\ÀUVWFHQWXU\-DSDQ-DSDQHVH6WXGLHV  9DQ/LHU/ 7KHHFRORJ\DQGVHPLRWLFVRIODQJXDJHOHDUQLQJ$VRFLR FXOWXUDOSHUVSHFWLYH'RUGHFKW.OXZHU

$SSHQGL[ 6XPPDU\RIWDVNGHVLJQVWUDWHJLHV 7DVNGHVLJQ )RFXVRQ)RUP

([DPSOHWH[WERRNDFWLYLW\

([DPSOHWDVN

6WDJH*DSÀOOH[HUFLVHWRFKRRVHWKHFRUUHFWIRUPRIWKH YHUE´EHµZKHQGHVFULELQJSHRSOH·VDSSHDUDQFH

6WDJH:DONDURXQGWKHFODVVURRPZLWKDSLFWXUHRID SHUVRQDQGÀQGVRPHRQHZLWKWKHVDPHSLFWXUH

6WDJH:DONDURXQGWKHFODVVURRPZLWKDSLFWXUHRID SHUVRQDQGÀQGVRPHRQHZLWKWKHVDPHSLFWXUH

6WDJH*DSÀOOH[HUFLVHWRFKRRVHWKHFRUUHFWIRUPRIWKH YHUE´EHµZKHQGHVFULELQJSHRSOH·VDSSHDUDQFH

,QIRUPDWLRQH[FKDQJH

'UDZDSLFWXUHRI\RXUIDPLO\

'UDZDSLFWXUHRI\RXUSDUWQHU·VIDPLO\

7ZRZD\UDWKHUWKDQ RQHZD\

7HOO\RXUSDUWQHUDERXW\RXUIDPLO\DQGDVNTXHVWLRQV DERXW\RXUSDUWQHU·VIDPLO\

)LQGÀYHGLIIHUHQFHVDQGÀYHVLPLODULWLHVZLWK\RXU IDPLOLHV·VFKHGXOHV

3ODQQLQJ

7DNHWXUQVDVNLQJDQGDQVZHULQJTXHVWLRQVDERXWSODFHV OLNHWKHVHLQ\RXUQHLJKERUKRRGDERRNVWRUHDJ\P GDQFHFOXEVGUXJVWRUHV«