Domestic Violence: A Training Manual To Raise Awareness- GTZ/MWA

7/28/2019 Domestic Violence: A Training Manual To Raise Awareness- GTZ/MWA

http://slidepdf.com/reader/full/domestic-violence-a-training-manual-to-raise-awareness-gtzmwa 1/58



Foreword

Domestic violence has had harmful impacts on the life and development of thousands of women in

Cambodia. It has been treated as a family issue, not as a social public issue. Many cases have gone un-

reported. Many women accept it as a normal part of their life. Consequently, many victims do not want

to reveal the details of their ordeal to outsiders and assistance for victims is inadequate as outsiders are

reluctant to become involved. Many victims do not ask for assistance or prosecute offenders.

Cambodia is a hierarchically structured society where notions of power and status determine social

relations. In this social order women are considered to be of lower status relative to men. Gender

based violence is one manifestation of this low status. According to the Cambodian Demographic and

Health Survey (2000) about one of every ten women in Cambodia lived in a marriage with a hus-

band who displays a substantial degree of marital control. This control is exercised in different ways:

through physical violence as well as through psychological violence, which occurs for example by ex-

hibiting jealousy and anger if the wife speaks to other men, accusations of infidelity, limiting contact

with friends and family and insisting on knowing her whereabouts all the time.

By drafting the Law on Prevention of Domestic Violence and Protection of the Victims the Ministry

of Women’s Affairs has taken a firm stand to eliminate gender based violence. Training and aware-

ness raising is essential for the successful implementation of the Law on the Prevention of Domestic

Violence and the Protection of the Victims.

The implementation of the law does not only require a suff icient legal framework, but also knowledge

of rights and duties and an understanding of the social and psychological background of domestic vio-

lence. Awareness raising, additional training, follow up actions, supervision and professional experi-

ence about these rights and backgrounds are hence necessary to optimize the benefits of the new law

and to improve the situation of victims of domestic violence significantly.

Domestic Violence is not only a legal but also a social problem. This manual, therefore, aims to train

local authorities like commune councilors and village chiefs as well as department and district staff of

Women’s and Social Affairs. One purpose of the training manual is to help the participants to identify

their own attitudes and value judgments.

The training sessions aim to promote discussion and to raise awareness on domestic violence so that

professionals and communities are able to develop appropriate strategies to deal with perpetrators,

assist victims and reduce domestic violence in their communities. The manual helps to raise aware-

ness in local communities. It is not a counseling manual and not meant to be one. Counselors that deal

directly with victims of violence need to attend special training courses to learn these skills.

The manual was produced by assessing national and international materials and adapting them to the

Cambodian context. Sessions were piloted with Ministry of Women’s Affairs staff, Provincial and

District staff from diverse backgrounds.

I hope that this manual will strengthen the efforts of Civil Society and the Ministry of Women’s

Affairs to reduce violence against women and children in Cambodia. Only a joint effort can lead to

change. I would like to thank the authors and the Ministry of Women’s Affairs for their commitment to

the work on the manual.

Susanne Müller, GTZ Promotion of Women’s Rights



Acknowledgments

Domestic Violence, a Training Manual to Raise Awareness, is a joint publication of the

Ministry of Women’s Affairs of the Royal Government of Cambodia and the German Technical

Cooperation Project Promotion of Women’s Rights.

This manual has drawn on the work of training activities on domestic violence from Cambodia

and around the world. Wherever possible, the source is given for each activity, unless the

materials were provided by the authors. At times, existing Cambodian training materials on

domestic violence awareness or related subjects were used and adapted, including those from

the Project Against Domestic Violence (PADV), the Cambodian Defenders Project (CDP),

Licado, Cambodian Women Crisis Center (CWCC), Gender and Development (GAD) and Social

Services of Cambodia (SSC).

Many people have contributed to the development of this training manual. Thanks goes to the

people within the Ministry of Women’s Affairs, that helped develop the format and provided

ideas and feedback on the contents of this manual, including Chhay Maridet, Pauk Saren, Prum

Soben, Suy En, Sakhoeun Savady, Pen Kunthea, Leng Monipheap, Kong Bunnak, Prak Samith

and Sam Monika, and the training team of Social Services of Cambodia. The GTZ Promotion

of Women’s Rights Project staff Thin Kouland, Annie Nut, Pich Ang, Yeauv Channa, Uch

Sokhom and Sok Ty have joined in with discussions related to the contents of the sessions.

Mariolein Coren and Nhem Rasmei wrote the training sessions and prepared the handouts

and worksheets. Christine Schmutzler prepared the layout and design of the manual. Susanne

Müller provided the authors with continuous valuable advice and guidance. The manual was

print edited by Gill Hector.

The authors would like to give special thanks to those trainers and participants who participated

in the field testing of the sessions in Siem Reap, Svay Reing, Kampong Speu and Phnom Penh.

Their suggestions and feedback, as well as enthusiasm and commitment to combating domestic

violence, were invaluable to the development of this manual.

The authors dedicate the present publication to all women, men and

children who are victims of abuse, in the hope that it will help to

prevent future acts of violence.



Table of contents

How to use this manual 1How to develop a training workshop 2

Section 1 Introduction

Session Names and ground rules 1.1

Worksheet Names and ground rules 1.3

Session What do you want to learn? 1.5

Session I am... 1.7

Worksheet I am... 1.9

Session Getting to know each other better 1.11

Session Who are we? 1.13

Section 2 Understanding domestic violence

Session Acts of domestic violence 2.1

Handout Acts of domestic violence 2.3

Session Exercise - Defining domestic violence 2.5

Worksheet Exercise - Defining domestic violence 2.7

Session Rating situations of violence, a personal judgement 2.13

Worksheet Rating situations of violence, a personal judgement 2.15

Session Beliefs and facts about domestic violence 2.17

Worksheet Beliefs and facts about domestic violence 2.19

Handout Beliefs and facts 2.23

Session Power and control 2.27

Worksheet Power and control case study 2.29

Handout Power and Control Wheel 2.31

Worksheet Power and control 2.33

Session Obstacles in changing an abusive relationship 2.37

Worksheet Obstacles in changing an abusive relationship 2.30

Handout Why is it so diff icult to change the situation 2.43

Session Perpetrators strategies 2.47

Worksheet Perpetrators strategies 2.49

Handout Perpetrators strategies 2.51

Session Cycle of violence 2.53

Worksheet Cycle of violence 2.55

Handout Cycle of violence 2.57

Session When a woman says “No” 2.59

Handout Ideas on sexuality, marriage and rape 2.61



Section 3 Legal framework

Session Needs and rights 3.1

Worksheet Needs and rights 3.3

Session Legislation and domestic violence 3.5

Handout Selected human rights documents, UN declarations and Cambodian legislation 3.7

Session Exercise – Legislation related to violence 3.9

Worksheet Exercise – Legislation related to violence 3.11

Session A cambodian domestic violence law 3.15

Handout the Law on Prevention of Domestic Violence and Protection of the Victim 3.17

Section 4 Children and domestic violence

Session Effects of domestic violence on children 4.1

Handout The effects of domestic violence on children 4.3

Session Parenting skills – Prevention of violence within the family and community 4.5

Handout Parenting Skills 4.9

Worksheet Parenting skills – Prevention of violence within the family and community 4.11

Handout Ideas on disciplining children and prevention of violence within the

family and community 4.13

Session Quiz – Ideas about children 4.15

Worksheet Quiz – Ideas about children – Do you agree or disagree? 4.17

Section 5 Help and assistance

Session How to help – How not to help 5.1

Worksheet Role plays “Can you help me” 5.3

Handout How to help – How not to help 5.21

Session Safety planning 5.23

Worksheet Safety planning – Case study 5.25

Handout Safety planning 5.27

Session Equality in relationships 5.29

Handout The Equality Wheel 5.31

Session Community action 5.33

Handout Ideas for community action 5.35

Session Tasks and responsibilities 5.37

Worksheet Tasks and responsibilities 5.39

Session Resources in the region 5.41



Handout Resources in the region 5.43

Section 6 Communication skills

Session Communication 6.1

Handout Communication basics 6.3

Session What did you see and hear? 6.5

Worksheet What did you see and hear? 6.7

Handout What we see and hear! 6.9

Session Can we talk? 6.11

Session Role play of good and bad interviews 6.13

Section 7 Energizers and games

Session Fruit salad 7.1

Session What do you see? 7.3

Worksheet What do you see? 7.5

Session Move to the spot 7.9

Session Statue stop 7.11

Session Relay 7.13

Session Streets and avenues 7.15

Session No laughing 7.17

Session The watch face 7.19

Section 8 Evaluation

Session Pre-post questionnaire 8.1

Worksheet Pre-post questionnaire 8.3

Session The mood meter 8.5

Session Individual responses 8.7

Worksheet Individual responses 8.9



1

GTZ Training manual

in Cooperation with MWADomestic Violence

How to use this manual

Welcome. Before you start using this manual, here are a few notes to help you find your way

around it.

Why this manual was written

The purpose of this “Domestic Violence – A training manual to raise awareness” manual is

to provide practical training sessions which will raise the awareness and understanding of

professional groups who deal with domestic violence.

Who the manual is for

The manual has been developed for skilled trainers. Trainers using this manual should be skilled in part icipatory adult learning methods and able to facilitate group learning. Trainers are required to

have an understanding of domestic violence, human rights and gender issues.

Target group for training

The target groups for most sessions are professionals who deal with domestic violence, especially

provincial, district and commune officials including representatives of the Women’s Affairs

departments, Social Affairs depar tments, police, local authorities and civil society groups. A

number of sessions focus on specific issues, like children or victims of violence, and are more

geared towards professionals who deal directly with victims of domestic violence. However, when

time allows, these sessions are suitable to be conducted with all mentioned professional groups.

Worksheets and handouts

The worksheets and handouts are designed to be easy to photocopy. Worksheets are meant to be

used during the workshop whilst doing an activity, individually or in groups. At times worksheets

will need to be updated before the session with the most updated or relevant information for your

target group. Be sure to check how many copies you will need during the activity and if anything

needs updating before the workshop is held!

We have tried to keep the explanatory notes during the sessions short, and have put a lot of

information into the handouts, so that the participants will be able to take this information home

with them. Because of this, handouts are at times rather long, but you can adapt them as youneed to. It is advised to photocopy more copies of handouts and worksheets than the number of

part icipants at the workshop, since there will often be visitors attending part of the workshop who

like to receive a copies.

Do not copy the session’s explanation for participants and do not provide a bound copy of all

worksheets and handouts to the participants before the session, as this will jeopardize some of the

activities.



How to use

this manual

2

GTZ Training manual

in Cooperation with MWA Domestic Violence

How to develop a training workshop

It is tempting to pick out a number of sessions because they look attractive or familiar, or do

too many sessions in a short period of time. Do not do it that way. Facilitators should prepare

the workshop and define the aims and objectives of the workshop, identify the needs of the

part icipants, define the available time and venue and only then choose the sessions and activities

that meet the requirements. Remember, it is better to get all of the participants to have free

discussions and take more time, than to rush through the sessions and try to cover as many topics

as you can without the part icipants understanding the issues discussed.

Facilitators should prepare by reading through the entire manual, picking out those sessions that fit

the target group of the training and the set objectives. Facilitators who are not sure about certain

sessions or activities may want to do a tr ial run to test them. Each session lists the materials needed

for that session. Read this and ensure that you have all that is required.

Take time to prepare the workshop. As a general rule you will need as much time for preparation

beforehand, as the number of days that the workshop wil l take. When you are working with a team

of facilitators, make sure that the task division before and during the workshop is clear and that

trainers know well before hand what sessions they will be responsible for and what is expected

of them. We advise you to assign one person during the workshop to be responsible for the

administrative matters, so others can focus on the workshop sessions.

On the next pages are examples of a two and a five day workshop.



How to use

this manual

3

GTZ Training manual


Example 1 – Two day workshop

Target group

Senior level departments’ heads in charge of provincial departments of Women’s Affairs, Social

Affairs and who are not dealing directly with victims or perpetrators of violence or work at

community level.

Aim and purpose

Gain general awareness on domestic violence and legislation in order to support their staff working

at their department, district or community level.

Available time and location

2 days, workshop is held in a conference room in Phnom Penh

Agenda for a two-day workshop sessions

Day 1

8:00 - 8:30 Opening ceremony – welcome and introduction of facilitators

8:30 - 8:45 Session – Names and ground rules setting

8:45 - 9:15 Session – What do you want to learn – sharing objectives

9:15 - 9:45 Session – Acts of domestic violence – brainstorming

9:45 - 10:00 Break (facilitators categorize)

10:00 - 10:30 Continue session – Acts of violence – grouping and discussion

10:30 - 12:00 Session – Exercise defining domestic violence

12:00 - 2:00 Lunch

2:00 - 2:15 Session – Fruit salad

2:15 - 2:30 Recap of morning session (categories plus definition) by participants

2:30 - 3:15 Session – Power and control – introduction case study and power and control wheel (skip the exercise because of time limitation)

3:15 - 3:30 Break

3:30 - 5:00Session - Beliefs and facts on domestic violence

(due to time restricting select only 4 beliefs to discuss)

Evening

(only for trainers)

Adapt the schedule when necessary for the next day based on the

experience during day 1



How to use

this manual

4

GTZ Training manual


Day 2

8:00 - 8:30

Recap of day before by participants.

Discuss issues or questions left over from the day before.

8:30 - 9:15 Session – Needs and rights

9:15 - 9:45 Session – Legislation and domestic violence –

plenary session and explanation of existing legal framework

9:45 - 10:00 Break

10:00 - 10:30Continue session – Legislation and domestic violence –

exercise in groups and plenary discussion

10:30 - 11:30Session – The Cambodian (draft) domestic violence law –

purpose and process

11:30 - 12:00 Session – Exercise defining domestic violence

12:00 - 2:00 Lunch

2:00 - 2:15 Energizer session - Relay

2:15 - 2:30 Recap of morning session

2:30 - 3:30

Session – How to help - How Not to help –

Act 1 and Act 2

Plenary session How to Help Wheel and How Not to Help Wheel as

handouts and limited discussion

3:30 - 3:45 Break

3:45 - 4:30 Session – Resources in the region

4:30 - 4:45 Session – Individual responses

4:45 - 5:00 Closing ceremony



How to use

this manual

5

GTZ Training manual


Example 2 – Five day workshop

Target group

Civil servants from the provincial and district departments of Women’s Affairs and Commune

Councilor’s Focal Point for Women and Children, coming from one province.

Aim and purpose

Gain deepened awareness and understanding on domestic violence. By the end of the training,

participants need to be able to provide assistance to vict ims of domestic violence and conduct com-

munity awareness activities.

Available time and location

5 days, workshop is held in a meeting room at the provincial Women’s Affairs department in the

target province.

Agenda for a five-day workshop sessions

Day 1 – Introduction & understanding domestic violence

8:00 - 8:30 Opening ceremony: welcome and introduction of facilitators

8:30 - 8:45 Pre-Questionnaire

8:45 - 9:30 Session – I am

9:30 - 10:00Session – What do you want to learn?-Sharing objectives,

setting the rules of the training sessions

10:00 - 10:15 Break

10:15 - 11:00Session – Acts of violence –

brainstorming, grouping and discussion

11:00 - 12:00 Session – Exercise defining domestic violence – group work

12:00 - 2:00 Lunch

2:00 - 2:30Continue session – Exercise defining domestic violence –

plenary discussion and feedback (categories plus def inition)

2:30 - 3:15 Session – What do you see?

3:15 - 3:30 Break

3:30 - 4:50 Session – Rating situations of violence – a personal judgement

4:50 - 5:00 Session – mood meter –

Evening

(only for trainers)





How to use

this manual

6

GTZ Training manual


Day 2 – Legal framework & power and control

8:00 - 8:30 Recap of day before -discuss possible left over issues of the day before

8:30 - 10:00 Session – Needs and rights –

10:00 - 10:15 Break

10:15 - 10:45 Session – Legislation and domestic violence –

10:45 - 12:00 Session – Exercise legislation and domestic violence –

12:00 - 2:00 Lunch

2:00 - 2:15Session –

Statue stop–

2:15 - 2:30Recap of morning sessions -

discuss possible left over issues of the morning

2:30 - 3:15Session – Power and control –

case study and explanation of the wheel

3:15 - 3:30 Break

3:30 - 4:30Continue session – Power and control –

group work with situation cards

4:30 - 4:50 Session – Equality in relationships

4:50 - 5:00 Session – mood meter –

Evening

(only for trainers)





How to use

this manual

7

GTZ Training manual


Day 3 – Obstacles to change & strategies of perpetrators

Children and domestic violence

8:00 - 8:30Recap of day before -

discuss possible left over issues of the day before

8:30 - 10:00 Session – Obstacles in changing an abusive relationship –

10:00 - 10:15 Break

10:15 - 11:00 Session – Perpetrators strategies –

11:00 - 12:00 Session – No laughing –

12:00 - 2:00 Lunch

2:00 - 2:15 Session – Relay –

2:15 - 2:30Recap of morning sessions –


2:30 - 3:15 Session – The effects of domestic violence on children –

3:15 - 3:30 Break

3:30 - 4:15 Session – Parenting skills – with the focus on disciplining children

4:15 - 4:40 Session – Quiz: ideas on children –

4:40 - 5:00Session – Mood meter – and request participants to write down:

what do you need? and expectations for the remaining two days

Evening

(only for trainers)

Adapt when necessary the schedule for the next day based on the




How to use

this manual

8

GTZ Training manual


Day 4 – Help and assistance & Communication

8:00 - 8:45 Recap of day before -discuss possible left over issues of the day before

8:45 - 10:00Session – How to Help - How Not to Help –

Act 1 and Act 2 plus discussion

10:00 - 10:15 Break

10:15 - 12:00

Continue session– How to Help - How Not to Help –

explanation and group work with the How to Help Wheel and How Not to

Help Wheel

12:00 - 2:00 Lunch

2:00 - 2:15 Session – The watch face –

2:15 - 2:45Recap of morning session -


2:45 - 3:15 Session – Can we talk? –

3:15 - 3:30 Break

3:30 - 4:30 Session – A role play of good and bad interviews –

4:30 - 4:50 Session – Quiz - Ideas on children –

4:50 - 5:00 Evaluation of day 4 – mood meter –

Evening

optional program

Session – When a woman says No –

For those participants that are interested to discuss

Evening

(only for trainers)

Adapt when necessary the schedule for the next day based on the




How to use

this manual

9

GTZ Training manual


Day 5 – Help and assistance & Communication

8:00 - 8:45 Recap of day before -discuss possible left over issues from the day before

8:45 - 10:00 Session – Safety planning –

10:00 - 10:15 Break

10:15 - 12:00 Session – Community action –

12:00 - 2:00 Lunch

2:00 - 2:15 Session – Streets and avenues –

2:15 - 2.30 Time for remaining questions and discussion

2:30 - 3:15 Post-Questionnaire

3:15 - 4:00 Session – Individual responses –

4:00 - 4:30 Closing ceremony



*7=7UDLQLQJPDQXDO

LQ&RRSHUDWLRQZLWK0:$'RPHVWLF9LROHQFH

6HFWLR ,QWURGXFWLRQ





6HVVLRQ HFWLRQ ,QWURGXFWLRQ

*7=7UDLQLQJPDQXDO

LQ&RRSHUDWLRQZLWK0:$RPHV F R HQFH

1DPHVDQGJURXQGUXOHVVHWWLQJ

2EMHFWLYH

7RHQFRXUDJHSDUWLFLSDQWVWRXVHHDFKRWKHUVQDPHVWKURXJKRXWWKHVHVVLRQ

7ROHWSDUWLFLSDQWVNQRZWKHJURXQGUXOHVRIWKHWUDLQLQJVHVVLRQ

6XJJHVWHGWDUJHWJURXS

3DUWLFSDQWVZKRGRQRWNQRZHDFKRWKHUJURXSVL]H

)DFLOLWDWRU1RWH

7KLVQDPHFDUGDQGUXOHVVHWWLQJDFWLYLW\FDQEHXVHGIRUDQ\ZRUNVKRS+RZHYHUWKHSDUWLFLSDQWV

QHHGWRVLWEHKLQGDWDEOHGXULQJWKHGXUDWLRQRIWKHWUDLQLQJIRUWKHQDPHFDUGVWREHRIXVH

0DWHULDOV

6HHZRUNVKHHWZLWKH[DPSOHRIDQDPHFDUGDQGUXOHVSKRWRFRS\WKLVRQWRVWURQJSDSHUIRUHDFK

SDUW LFLSDQWPDUNHUSHQ

7LPH

PLQXWHV

3URFHVV,QVWUXFWLRQV +DQGRXWWKHQDPHFDUGWRHDFKSDUWLFLSDQW$OVRJLYHHDFKSDUWLFLSDQWDPDUNHUSHQ

$VNWKHSDUWLFLSDQWWRIROGWKHQDPHFDUGDQGZULWHWKHLUQDPHFOHDUO\RQWKHIURQWZLWKD

PDUNHUSHQDQGSODFHLWRQWKHLUGHVNZLWKWKHLUQDPHIDFLQJWKHDXGLHQFH

7KHQDVNVRPHRQHWRUHDGWKHJURXQGUX HVWKDWDUHRQWKHEDFNRIWKHQDPHFDUG: WKWKH

SDUW LFLSDQWVGHI LQHWKHWLPHVZKHQWRVWD UWHDFKPRU QLQJKDYHDEUHDN OXQFKWLPHVW DUWRI

DIWHUQRRQVHVVLRQDIWHUQRRQEUHDNDQGILQLVKLQJDQGOHWSDUWLFLSDQWVZULWHWKLVRQWKHEDFNRI

WKHFDUG

$VNSDUWLFLSDQWVLIWKH\DJUHHZLWKWKHJURXQGUXOHVWKDWDUHZULWWHQRQWKHEDFNRIWKHFDUG

DQGDVNLIWKHUHDUHDQ\RWKHUUXOHVWREHVHW/HWSDUWLFLSDQWVQRWHWKHVHGRZQRQWKHEODQN

VSDFHRQWKHQDPHFDUG





:RUNVKHHW6HVVLRQ

DPHVDQ JURXQ UX HV

VHWWLQJ

*7=7UDLQLQJPDQXDO


% H Q

K H U H

1 DP H

+ H U H D U H D I H Z L G

H D V W R H Q V X U H

W K H Z R U N V K R S V X

F F H V V

3 D U W L F L S D W H L Q G L V F X

V V L R Q V ± O L V W H Q W R R W K H U V

7 U \ W R U H O D W H \ R X U H

[ S H U L H Q F H V

$ V N T X H V W L R Q V

6 W D \ R Q W K H V X E M H F W

-

6 W D U W L Q J W L P H « « « % U H D N « « «

/ X Q F K « « W

R « «

% U H D N « «

) L Q L V K «

7 X U Q \ R

X U P R E L O H S K R Q H R I I R U R Q V L O H Q W






*7=7UDLQLQJPDQXDO


:KDWGR\RXZDQWWROHDUQ"

6KDULQJREMHFWLYHV

2EMHFWLYH

7RJHWWRNQRZWKHWUDLQLQJH[SHFWDWLRQVRIWKHSDUWLFLSDQWV

7RHQDEOHSDUWLFLSDQWVWREHFOHDUDERXWWKHSURJUDPPHVRWKDWWKH\GRQRWKDYHXQUHDOLVWLF

H[SHFWDWLRQV


$Q\JURXSRISDUWLFLSDQWVIURPWRSDUWLFLSDQWV

)DFLOLWDWRU1RWH

%HIRUHWKHZRUNVKRSIDFLOLWDWRUVVKRXOGGHILQHWKHREMHFWLYHVDQGDGUDIWVFKHGXOH7KLVVKRXOG

EHSUHSDUHGDVDKDQGRXWRURQDIOLSFKDUW'XULQJWKLVDFWLYLW\SDUWLFLSDQWVPLJKWUHTXHVWRWKHU

LVVXHVWREHLQFOXGHG7KHIDFLOLWDWRUVKRXOGGHWHUPLQHZKHWKHUSRVVLEOHDGMXVWPHQWVWRWKH

VFKHGXOHFDQEHPDGHDQGGLVVFXVVWKLVZLWKWKHSDUWLFLSDQWV0RVWOLNHO\WKLVZLOOGHSHQGRQWKH

REMHFWLYHVDQGDYDLODEOHWLPHIUDPH

0DWHULDOV

%ODQNFDUGVPDUNHUSHQVZKLWHRUSLQERDUGWDSHRUSLQVIOLSFKDUWDQGKDQGRXWVWDWLQJWKH

REMHFWLYHVDQGVFKHGXOHRIWKHZRUNVKRSWKHKDQGRXWVKRXOGEHSUHSDUHGEHIRUHKDQGE\WKH

IDFLOLWDWRU

7LPH

PLQXWHV

3URFHVV,QVWUXFWLRQV

$VNHDFKSDUWLFLSDQWWRZULWHGRZQRQDFDUGZKDWVKHZDQWVWROHDUQIURPWKLVZRUNVKRS

PLQXWHV

&ROOHFWDOOWKHFDUGVDQGGLVSOD\WKHPRQDZKLWHRUSLQERDUG±JURXSVLPLODUDQVZHUV

WRJHWKHU

6HWDVLGHWKRVHH[SHFWDWLRQVWKDW\RXZHUHQRWSODQQLQJWRDGGUHVVGXULQJWKHWUDLQLQJ

'HILQHLI\RXFDQDGDSWWKHWUDLQLQJWRWKHQHHGVH[SUHVVHGE\WKHSDUWLFLSDQWVORRNIRU

RSSXUWXQLWLHVGXULQJWKHZRUNVKRSWRDGDSWLQRUGHUWRDQVZHUVRPHRIWKHH[SUHVVHGQHHGV

H[SODLQWRSDUWLFSDQWVZKLFKQHHGVPLJKWQRWEHFRYHUHGE\WKHZRUNVKRSDQGUHIHUWRSRVVLEOH

RWKHURSSXUWXQLWLHVWRDGGUHVVWKHH[SUHVVHGQHHGV

1RWHRQDIOLSFKDU WWKRVHLVVXHVWKDWQHHGWREHDGGUHVVHGGXULQJWKHZRUNVKRSEXWDUHQRW

\HWLQFOXGHGLQWKHVFKHGXOH6WLFNWKLVIOLSFKDUWRQDFOHDUO\YLVLEOHSODFHLQWKHURRP

1RZVKDUHWKHREMHFWLYHVDQGVFKHGXOHRIWKHZRUNVKRS






*7=7UDLQLQJPDQXDO


,DP

2EMHFWLYH

7RJHWWRNQRZHDFKRWKHU

7RHQFRXUDJHJURXSSDUWLFLSDWLRQ


3DUWLFLSDQWVZKRKDYHQRWPHWEHIRUHDQGZKRZLOOSDUWLFLSDWHLQWUDLQLQJVHVVLRQVIRUDQXPEHURI

GD\VLHWRGD\VRUPRUHJURXSVL]H

)DFLOLWDWRU1RWH

3DUWLFLSDQWVZULWHGRZQDQVZHUVDERXWWKHPVHOYHVIRURWKHUJURXSPHPEHUVWRVHH7KLVLFHEUHDNHU

FDQEHXVHGDWWKHEHJLQQLQJRIDZRUNVKRSZKHUHSDUWLFLSDQWVGRQRWNQRZHDFKRWKHUZHOO

0DWHULDOV

$ZRUNVKHHWIRUHDFKSDUWLFLSDQWZLWK³,DP««´ZULWWHQRQWRSRILWDPDUNHUSHQIRUHDFK

SDUW LFLSDQWDQGWDS HRUSLQVWRDWWDFKWKHVKHHWWRWKHIURQWRIHDFKSDUWLFLSDQW¶VVKLUW

7LPH

±PLQXWHV

3URFHVV,QVWUXFWLRQV

+DQGRXWWKH³,$P«´ZRUNVKHHWDQGDPDUNHUSHQWRHDFKSDUWLFLSDQW

7HOOSDUWLFLSDQWVWKH\KDYHPLQXWHVWRZULWHUHVSRQVHVWRWKHTXHVWLRQ(QFRXUDJH

SDUW LFLSDQWVWRZULWHWKHLUDQVZHUVFOHDUO\VRWKDWSHRSOHFD QUHDGLWIURPDGLVWDQFH

3DUWLFLSDQWVDUHIUHHWRZULWHZKDWWKH\ZDQWEXWLIWKHJURXSKDVGLIILFXOW\JHWWLQJVWDUWHG

WKHIDFLOLWDWRUPLJKWJLYHDIHZSRVVLEOHDQVZHUVVXFKDV³,DPWKHPRWKHURIWKUHHFKLOGUHQ´

,¶PDPLQFKDUJHRIWKH'9GHVNDWWKHSURYLQFLDOGHSDUWPHQWRI:RPHQ¶V$IIDLUV´³,DPD

ORYHURIVRXUVRXS´

:KHQWKHSUHSDUDWLRQWLPHLVILQLVKHGWHOOWKHSDUWLFLSDQWVWRDWWDFKWKHLUVKHHWWRWKHIURQWRI

WKHLUVKLUWRUEORXVHDQGWKHQZDONDURXQGWKHURRPUHDGLQJRWKHUSDUWLFLSDQWV¶VKHHWV

7KHSDUWLFLSDQWVDUHHQFRXUDJHGWRWDONWRWKHSHRSOHZKRVHVKHHWDSSHDUVWREHLQWHUHVWLQJRU

DVNTXHVWLRQVWKH\PD\KDYHZKLOHUHDGLQJWKHVKHHWV

$IWHU±PLQXWHVWKHIDFLOLWDWRUZLOODVNLIWKHUHDUHDQ\SHRSOHLQWKHURRPZLWKVLPLODU

UHVSRQVHVDQGDOVRDVNZKDWSHRSOHIRXQGPRVWLQWHUHVWLQJRUUHPDUNDEOHDERXWHDFKRWKHU

RXUFH $GDSWHGIURP*. URHQKHUW ³WUDLQLQJ*DPHV´





:RUNVKHHW6HVVLRQ

DP

*7=7UDLQLQJPDQXDO


QVWUXFWLRQ 3OHDVHDQVZHUWKHTXHVWLRQVEHORZWHQWLPHV\RXDUHIUHHWRDQVZHUWKHZD\\RXOLNH

DP

,DP

,DP

DP

DP

,DP

,DP

DP

DP

,DP

,DP






*7=7UDLQLQJPDQXDO


*HWWLQJWRNQRZHDFK RWKHUEHWWHU

2EMHFWLYH 7ROHWSDUWLFLSDQWVUHDFTXDLQWZLWKHDFKRWKHU

7RJHWWRNQRZHDFKRWKHURQDPRUHSHUVRQDOOHYHO

7RJHWHYHU\ERG\DFWLYHO\LQYROYHGLQDKXPRURXVPDQQHU


3DUWLFLSDQWVZKRKDYHPHWEHIRUHDQGZKRZLOOSDUWLFLSDWHLQWKLVZRUNVKRSIRUDQXPEHURIGD\V

LHGD\VRUPRUHJURXSVL]H±LIWKHJURXSLVODUJHUWKHJURXSQHHGVWREHEURNHQXSLQWR

VPDOOHUVXEJURXSV

)DFLOLWDWRU1RWH

7KLVDFWLYLW\FDQEHDZHOFRPHFKDQJHWRWKHXVXDOLQWURGXFWLRQH[HUFLVHVDGGLQJWKHDVSHFWVRI

GUDZLQJVDQGDPRUHSHUVRQDOWRXFKWRWKHZRUNVKRS

0DWHULDOV

%ODQNFDUGVVKDSHGDVRYDOVVTXDUHVRUWDEOHQDPHFDUGVHHH[DPSOHGLIIHUHQWFRORUHGPDUNHUV

RUFUD\RQVXVHGIRUGUDZLQJDFRQWDLQHURUEDVNHWWRSXWWKHGUDZLQJVLQIDFLOLWDWRUPLJKWZDQWWR

EULQJDQH[DPSOHRID³FDUWRRQ´QD PHFDUGWRVKRZWRSDUWLFLSDQWVDVH[DPSOH

7LPH

PLQXWHV

3URFHVV,QVWUXFWLRQV

3DUWLFLSDQWVZLOOSDLUXSWKURXJKDFRXQWLQJV\VWHPIRUH[DPSOHJLYHSDUWLFLSDQWVDQXPEHU

WRDOOWKHRQHVVLWWRJHWKHUWZRVVLWWRJHWKHUHWFHWHUD

$VNHDFKSDLUWRWU\WROHDUQVRPHWKLQJLQWHUHVWLQJDERXWWKHRWKHUSHUVRQWKHLUSHUVRQDOOLIH

IDPLO\KREELHVIULHQGVOHLVXUHWLPHDQGRWKHUREOLJDWLRQVVWXG\ZRUNOLIHZKDWWKH\OLNH

ZKDWWKH\GRQRWOLNH7KH\KDYHPLQXWHV

$IWHUPLQXWHVHDFKSHUVRQVKRXOGWU\WRPDNHDGUDZLQJDERXWWKHRWKHUSHUVRQGHSLFWLQJVRPHWKLQJW\SLFDODERXWWKDWSHUVRQ,WFDQEHDUHDOGUDZLQJLWFDQEHDFDUWRRQ±PLQ1R

QDPHVKRXOGEHZULWWHQRQWKHFDUGDWWKLVWLPH'RQRWVKRZ\RXUGUDZLQJWR\RXUSDUWQHU

$OOGUDZLQJVZLOOJRLQDFRQWDLQHURUEDVNHWRQFHWKLVLVGRQHRQHSHUVRQZLOOFRPH

IRUZDUGDQGWDNHRXWDGUDZLQJFDUGIURPWKHEDVNHWDQGZLOOGHVFULEHWKHGUDZLQJWRWKHRWKHU

SDUW LFLSDQWV7KHJ URXSZLOOWKHQKDYHWRJXHVVI URPWKHGUDZLQJZKRLVGHSLFWHGLQWKHSLFWXUH

(YHU\ERG\LQWKHJURXSPD\SDUWLFLSDWHH[FHSWIRUWKHSHUVRQZKRGUHZLW



6HVVLRQ*HWWLQJWRNQRZ

HDF R HU H HU

6HFWLRQ ,QWURGXFWLRQ

*7=7UDLQLQJPDQXDO

LQ&RRSHUDWLRQZLWK0:$ RPHV F R HQFH

$IWHUZDUGVWKHFDUWRRQFDUGVFDQEHJOXHGRQDELJSDSHUUHVXOWLQJLQDGHFRUDWLYHSRVWHURII

DOOSDUWLFLSDQWV




*7=7UDLQLQJPDQXDO


:KRDUHZH"

2EMHFWLYH

7RLQWURGXFHSDUWLFLSDQWVWRHDFKRWKHUZKHQWKHUHDUHPDQ\SDUWLFLSDQWV

DQGWLPHLVOLPLWHG

7RLQYROYHSDUWLFLSDQWVLQDSK\VLFDODFWLYLW\DWWKHEHJLQQLQJRIDZRUNVKRS VHVVLRQ


$ODUJHJURXSRISDUWLFLSDQWVIRUH[DPSOH±GXULQJDVKRUWRQH±WZRGD\ZRUNVKRS

)DFLOLWDWRU1RWH

,QGLYLGXDOLQWURGXFWLRQVRIWHQWDNHWRRORQJLQDODUJHJURXSXQOHVVHYHU\RQHLVOLPLWHGVWULFWO\

WRQDPHVDQGRUJDQLVDWLRQV%XWHYHQDIWHUWKLVIHZSHRSOHUHPHPEHUGHWDLOV7KLVH[HUFLVHJHWV

HYHU\RQHSK\VLFDOO\DFWLYHHDUO\RQDQGPRVWSHRSOHILQGLWLQWHUHVWLQJWRNQRZWKHPL[RISHRSOH

SUHVHQW7KHUHDUHXVXDOO\DIHZODXJKVDERXWWKRVHOHIWRXW

&LUFXODWHDVKHHWZLWKQDPHVRUJDQLVDWLRQVDGGUHVVHVHWFHWHUDZLWKRQHSHUVRQUHVSRQVLEOHIRU

VHHLQJWKDWWKHVKHHWJHWVDURXQGWKHJURXSDQGKDYHLWW\SHGXSDQGGLVWULEXWHGWRDOOSDUWLFLSDQWV

E\WKHHQGRIWKHVHVVLRQ

0DWHULDOV

3UHSDUHDOLVWZLWKILYHWRHLJKWTXHVWLRQVWKDWWHOOXVZKRZHDUHDGGLQJDIHZTXHVWLRQVUHODWHGWR

WKHSDUWLFLSDQWVEXWLQFOXGLQJRQHRUWZRWKDWDUHQRWQHFHVVDULO\UHODWHG

7LPH

PLQXWHV

3URFHVV,QVWUXFWLRQV

$VNSHRSOHWRVWDQGXSLQUHVSRQVHWRYDULRXVTXHVWLRQVWKDWWHOOXV³ZKRDUHZH"´$VNVRPH

XHVWLRQVWKDWDUHMRERUWRSLFUHODWHGDQGDVNDIHZSHUVRQDOTXHVWLRQV)RUH[DPSOHZKRZRUNV

LUHFWO\ZLWKYLFWLPVRIGRPHVWLFYLROHQFH"ZKRZRUNVLQWKHFRPPXQLW\"ZKRKDVFKLOGUHQ"

ZKRLVIURPWKLVWRZQRUSURYLQFH"ZKRFDPHZLWKDWD[LWKLVPRUQLQJ"ZKROLNHVWRVLQJNDUDRNH"0DNHVXUHWKDWWKHTXHVWLRQVDUHDSSURSULDWHWRWKHSDUWLFLSDQWV¶EDFNJURXQGDQGFDQ

DGGVRPHODXJKWHU'RQRWDVNTXHVWLRQVWKDWDUHWRRREYLRXV)RUH[DPSOHLI\RXRQO\KDYH

SDUW LFLSDQWVFRPLQJIURPWKHSURYLQFLDO:RPHQ¶V$IIDLUVGHSDU WPHQWGRQRWDVN³ZKRLVIURP

WKH:RPHQ¶V$IIDLUVGHSDUWPHQW"´

$VNSDUWLFLSDQWVWRORRNDURXQGIRURWKHUVZKHQWKH\VWDQGXSWKH\PD\ZDQWWRWDONWRWKRVH

SHRSOHWKDWWKH\KDYHVRPHWKLQJLQFRPPRQZLWKODWHU

7KHQDVN³ZKRKDVEHHQOHIWRXW"´7KLVZLOOXVXDOO\DGGVRPHODXJKWHU

,IQRWGRQHDOUHDG\FLUFXODWHWKHVKHHWZLWKQDPHVDQGVWDUWWKHSURJUDPPH





*7=7UDLQLQJPDQXDO


HFWLRQ

8QGHUVWDQGLQJ

GRPHVWLFYLROHQFH





6HVVLRQ HFWLRQ QGHUVWDQGLQJ

RPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


$FWVRIGRPHVWLFYLROHQFH

2EMHFWLYH

7RGHYHORSDFRPPRQXQGHUVWDQGLQJDERXWDFWVRIYLROHQFHZLWKLQWKHKRXVHKROGDQGD

HILQLWLRQRIGRPHVWLFYLROHQFH

7RJHWSDUWLFLSDQWVDFTXDLQWHGZLWKDOOIRUPVRIGRPHVWLFYLROHQFH

7RJHWDOOSDUWLFLSDQWVLQYROYHG

7RSURPRWHGLVFXVVLRQRQZKDWLVUHJDUGHGDVDQDFWRIYLROHQFHGRPHVWLFYLROHQFH


$OOSURIHVVLRQDOJURXSVWKDWGHDOZLWKGRPHVWLFYLROHQFHHVSHFLDOO\SURYLQFLDOGLVWULFWDQG

FRPPXQHRIILFLDOVLQFOXGLQJUHSUHVHQWDWLYHVRI:RPHQ¶V$IIDLUV'HSDUWPHQWV6RFLDO$IIDLUV

'HSDUWPHQWVSROLFHORFDODXWKRULWLHVDQGFLYLOVRFLHW\JURXSV 0D[LPXPVXJJHVWHGQXPEHURI

SDUW LFLSDQWVLQFDVHWKHJURXSLVODUJHULWLVVXJJHVWHGWROHWWKHSDU WLFLSDQWVZRUNLQSDLUV

)DFLOLWDWRU1RWH

7KLVH[HUFLVHLVXVHIXOZKHQVWDUWLQJDVHVVLRQRQGRPHVWLFYLROHQFHEHFDXVHLWJLYHV

YDOXDEOHLQSXWDQGXQGHUVWDQGLQJZKDWSHRSOH¶VSHUFHSWLRQRIGRPHVWLFYLROHQFHLV

7KHJRDORIWKLVH[HUFLVHLVWRFRQGXFWEUDLQVWRUPLQJDPRQJWKHSDUWLFLSDQWVLQZKLFKWKH\

OLVWDFWVRIYLROHQFHZKLFKWKH\VHHDVEHORQJLQJWR³GRPHVWLFYLROHQFH´

KHH[DPSOHVJLYHQVKRXOGEHJURXSHGXQGHU±DWOHDVW ±WKHIROORZLQJFDWHJRULHVSK\VLFDO

YLROHQFHVH[XDOYLROHQFHHPRWLRQDOPHQWDOYLROHQFHLQFOXGLQJYHUEDOYLROHQFHWKUHDWVDQG

HSULYDWLRQRIIUHHGRPDQGHFRQRPLFYLROHQFH

7KLVVHVVLRQFDQEHHDVLO\DGDSWHGLQFDVHWKHIRFXVRIWKHZRUNVKRSLVYLROHQFHDJDLQVW

ZRPHQLQVWHDGRIGRPHVWLFYLROHQFH

0DWHULDOV

6PDOOFDUGVIRUHDFKSDUWLFLSDQWDQXPEHURIFDUGVPDUNHUSHQVWDSHRUSLQVDQGSLQERDUGV

KDQGRXW³$FWVRIYLROHQFHZLWKLQWKHKRXVHKROGDQGGHILQLWLRQRIGRPHVWLFYLROHQFH´

7LPHPLQXWHVGHSHQGLQJRQWKHWLPHWDNHQIRUGLVFXVVLRQ

3URFHVV,QVWUXFWLRQV

$VNWKHSDUWLFLSDQWVWRZULWHRQDFDUGGLIIHUHQWDFWVRIGRPHVWLFYLROHQFHQRWHSUHIHUDEO\

RQHDFWRQHDFKFDUG7LPHWRGRWKLV±PLQXWHV

/HWWKHSDUWLFLSDQWVVWLFNWKHLUFDUGVRQWKHZKLWHERDUGRUSLQERDUGLQIURQW



6HVVLRQ$FWVRIGRPHVWLFYLROHQFH

6HFWLRQ QGHUVWDQGLQJ

RPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


7KHH[DPSOHVJLYHQVKRXOGWKDQEHJURXSHGLQFDWHJRULHV7U\OHWWLQJSDUWLFLSDQWVFRPH

XSZLWKGLIIHUHQWFDWHJRULHVRUVHHLIGXULQJWKHEUDLQVWRUPLQJFDWHJRULHVRIYLROHQFHZHUH

PHQWLRQHG,QWKHHQGLWLVVXJJHVWHGWRKDYHDWOHDVWWKHIROORZLQJFDWHJRULHV

D SK\VLFDO

EVH[XDO

HPRWLRQDOPHQWDOLQFOXGLQJYHUEDOYLROHQFHWKUHDWVDQGGHSULYDWLRQRIIUHHGRP

GHFRQRPLF

8VHWKHEUDLQVWRUPLQJFDUGVZLWKWKHH[DPSOHVRIDFWVRIYLROHQFHDQGDVVLJQWKHPWRWKH

FDWHJRULHVPHQWLRQHGDERYH

'LVFXVVZKHQDSSURSULDWHWKHH[DPSOHVJLYHQE\WKHSDUWLFLSDQWV±VHHQRWHVRQGLVFXVVLRQ

%HVXUHWKDWDOOPDLQFDWHJRULHVRIYLROHQFHDUHGLVFXVVHGVHHOLVWDERYH

0DNHVXUHWKDWSDUWLFLSDQWVXQGHUVWDQGWKDWDOOW\SHVRIGRPHVWLFYLROHQFHZLOOFDXVH

HPRWLRQDOPHQWDOSDLQDQGWKDWRQO\VRPHW\SHVRIYLROHQFHSK\VLFDODQGVH[XDOFDXVHV

DGGLWLRQDOSK\VLFDOKDUP

$IWHUWKLVH[HUFLVHWKHIDFLOLWDWRUIRUPXODWHVRUSURYLGHVWKHGHILQLWLRQRIGRPHVWLFYLROHQFH

DVRQWKHKDQGRXWLQFOXGLQJWKHGLIIHUHQWLVVXHVDVGLVFXVVHGGXULQJWKHSOHQDU\VHVVLRQ

)DFLOLWDWRUZULWHVWKHGHILQLWLRQRQDELJVKHHWRISDSHU

$WWKHHQGRIWKLVVHVVLRQJLYHRXWWKHKDQGRXW³$FWVRIYLROHQFHZLWKLQWKHKRXVHKROGDQG

HILQLWLRQRIGRPHVWLFYLROHQFH´

'LVFXVVLRQ,WLVLPSRUWDQWWRGHVFULEHYLROHQFHLQFRQFUHWHWHUPV)RULQVWDQFHLIDSDUWLFLSDQWWDONV

DERXWDEXVHWKHWUDLQHUVKRXOGWKHQDVNKLPKHUWRVWDWHZKLFKIRUPVRIYLROHQFHVKHPHDQV

DQGWRJLYHH[DPSOHVVXFKDVKLWWLQJLQWKHIDFHNLFNLQJLQWKHULEVWKUHDWVRISK\VLFDOKDUP

HSULYDWLRQRIOLEHUW\DQGVRRQ

'LVFXVVGXULQJWKLVVHVVLRQEHKDYLRXURUDFWVWKDWFRXOGEHGLVSXWHGDVYLROHQWDFWVLH

ULQNLQJDOFRKROYHUEDOLQVXOWRUSDWWLQJRUKLWWLQJVRPHRQHRQWKHEDFNKDYLQJDUHJXODUQHHG

IRUVH[KDYLQJDVHFRQGZLIHDUHWKHVHDFWVRIYLROHQFH":K\RUZK\QRW"

7U\WROHWSDUWLFLSDQWVUHDOL]HWKDWGRPHVWLFYLROHQFHLVRIWHQUHODWHGWRLQHTXDOLW\LQDFRXSOHV

UHODWLRQVKLSRULWLVDVLWXDWLRQZKHUHRQHSHUVRQWULHVWRFRQWUROWKHRWKHUSHUVRQSRZHUDQG

FRQWURO)RUH[DPSOHDPDQXVHVKLVVWDWXVDVKHDGRIWKHKRXVHKROGLQRUGHUWRGLVFLSOLQHKLV

ZLIHZKHQKHVHHVILWDPDQKLWVKLVZLIHDQGQRWKLVERVVZKHQKHLVIUXVWUDWHGDWZRUN

7KHSDUWLFLSDQWVPD\FRPHWRUHDOL]HWKDWVHYHUDOIRUPVRIYLROHQFHPD\EHDSSOLHGDW

WKHVDPHWLPHDVZHOODVWKDWVRPHDFWVRIYLROHQFHFRXOGEHJURXSHGXQGHUPRUHWKDQRQH

FODVVLILFDWLRQ



*7=7UDLQLQJPDQXDO


+DQGRXW6HVVLRQ

$FWVR RPHV F R HQFH

$FWVRIGRPHVWLFYLROHQFH

,QWKLVKDQGRXWDFWVRIGRPHVWLFYLROHQFHDUHFODVVLILHGLQIRXUPDLQFDWHJRULHVLHSK\VLFDOVH[XDOSV\FKR

ORJLFDODQGHFRQRPLF6RPHDFWVRIYLROHQFHZLOORYHUODSZLWKPRUHWKDQRQHFDWHJRU\$OOYLROHQFHDOZD\V

FDXVHVSV\FKRORJLFDODQGHPRWLRQDOKDUPWRWKHYLFWLPDQGSRVVLEOHZLWQHVVHV

3K\VLFDOYLROHQFHVXFKDV

+LWWLQJSXVKLQJNLFNLQJKDLUSXOOLQJEDWWHULQJZLWKDVWLFNEDPERRELWLQJSLQFKLQJVKDNLQJLQMXULQJ

ZLWKDWRROVLFNOHWKURZLQJKDFNLQJZLWKDQD[HVWDEELQJZLWKDNQLIHLQMXULQJZLWKDZHDSRQJXQJUHQDGH

HWFVXIIRFDWLQJZLWKDFXVKLRQSXVKLQJGRZQVWDLUVVWUDQJOLQJEXUQLQJWKURZLQJVSUD\LQJZLWKDFLGSRL

VRQLQJGHSULYDWLRQRIVOHHSDWWHPSWHGPXUGHUKRPLFLGH

6H[XDOYLROHQFH XFKDV

5DSHLQFOXGLQJPDULWDOUDSHVH[XDODEXVHVRQFKLOGUHQIRUFLQJVRPHRQHWRKDYHVH[ZLWKDQRWKHUSHUVRQVH[

XDOKDUDVVPHQWDQGVH[XDOH[SRVXUH VH[XDODEXVHWRGHJUDGHVRPHRQHVXFKDVXULQDWLQJRQZRPHQRUIRUFLQJ

DZRPDQWRKDYHRUDOVH[HWFHWHUD

3V\FKRORJLFDOPHQWDOYLROHQFHLQFOXGLQJ

9HUEDOYLROHQFH VXFKDV 6KRXWLQJFRQVWDQWDQGSURORQJHGFULWLFL]LQJDQGLQVXOWLQJDSHUVRQ

WHOOLQJVKHLVXJO\DQGRUZRUWKOHVVMHDORXV\UHIXVLQJWRWDONWRWKHSHUVRQKXPLOLDWLQJLQIURQWRIWKH

FKLOGUHQDQGRWKHUVWHOOLQJDSHUVRQWKDWVKHLVPDGDQGVKRXOGEHLQDPHQWDOKRVSLWDO

KUHDWV XFKDV 7KUHDWHQLQJZLWKDZHDSRQRUWRROWKDWFDQEHXVHGDVZHDSRQWKUHDWHQLQJ

WRWDNHWKHFKLOGUHQDZD\WKUHDWHQLQJWRVHOOWKHFKLOGUHQWKURZLQJKHURXWRIWKHKRXVHWKUHDWHQLQJ

WRFRPPLWVXLFLGHWKUHDWHQLQJWRDEGXFWRUDEXVHWKHFKLOGUHQPXWLODWLQJKHUEHDWLQJKHUUXLQLQJWKH SURSHUW\SUHYHQWLQJDMRERSSRUWXQLW\WKUHDWHQLQJWRVHOOKHUWUDIILFNLQJFODLPLQJULJKWVEHFDXVHRI

GRZU\SD\PHQW

'HSULYDWLRQRIIUHHGRPLVRODWLRQ

VXFKDV 5HIXVLQJWROHWKHUVHHIDPLO\DQG

IULHQGVORFNLQJDSHUVRQLQSUHYHQWLQJDSHUVRQ

WROHDYHWKHKRXVHKROGSUHPLVHVRUWRJRWRZRUN

RUWRJRWRVWXG\IROORZLQJWKHSHUVRQHYHU\ZKHUH

VKHJRHVFRQWUROOLQJDOODVSHFWVRIIDPLO\GHFLVLRQ

PDNLQJ

(FRQRPLFYLROHQFH VXFKDV'HVWUR\LQJYDOXDEOHSHUVRQDOEHORQJLQJVRUSURSHUW\

IRUH[DPSOHEUHDNLQJSODWHVDQGJODVVHVVHWWLQJILUH

WRWKHKRXVHUHIXVLQJWRJLYHPRQH\PDNLQJWKHSHU

VRQEHJIRUHYHU\5LHOIRUFLQJDSHUVRQWRVLJQDORDQ

RUWDNHDZD\SURSHUW\



*7=7UDLQLQJPDQXDO


+DQGRXW6HVVLRQ

FWVR RPHV FY R HQFH

3K\VLFDOYLROHQFHLVREYLRXVO\WKHPRVWYLVLEOHW\SHRIYLROHQFHDQGFDQKDYHVHULRXVFRQVHTXHQFHVOHDGLQJWR

LQMXU\DQGHYHQGHDWK+RZHYHUVH[XDODQGSV\FKRORJLFDOYLROHQFHWKDWDIIHFWVDSHUVRQ¶VHPRWLRQDOZHOOEH

LQJFDQEHDVGHYDVWDWLQJOHDGLQJWROLYHORQJKDUPVXLFLGHDVZHOODVKRPLFLGHLQWKLVFDVHPXUGHURIWKHDEXVHU

'RPHVWLFYLROHQFHFDQEHGH LQHGDV

'RPHVWLFYLROHQFHLVUHIHUUHGWRDVSK\VLFDOVH[XDOPHQWDOLQFOXGLQJLQVXOWVWKUHDWVDQGLVRODWLRQ

DQGHFRQRPLFDOYLROHQFHRUDEXVHFDUULHGRXWE\RQHRUPRUHSHUVRQVLQRUGHUWRFRQWURODQRWKHU

SHUVRQVOLYLQJLQWKDWKRXVHKROG

HILQLWLRQRIDKRXVHKROG

$KRXVHKROGFRQVLVWVRIWKHIROORZLQJSHUVRQV

6SRXVHVWKHSHUVRQVZKRDUHOHJDOO\PDUULHGRUXQPDUULHGEXWOLYLQJZLWKHDFKRWKHUDVKXVEDQGDQG

ZLIHZLWKLQRQHKRXVHKROG

'HSHQGHQWFKLOGUHQLQFOXGLQJRZQFKLOGUHQDGRSWHGFKLOGUHQ

$Q\SHUVRQOLYLQJXQGHUWKHVDPHURRIRIWKHKRXVHRQWKHKRXVHKROGSUHPLVHVDQGZKRDUHGHSHQGHQW

RQWKHKRXVHKROGLQFOXGLQJOLYHLQIDPLO\HOGHUO\XQFOHVDXQWVDQGGRPHVWLFVHUYDQWV

6RXUFH:$9(DQGWUDLQLQJVHVVLRQVZLWKWKH56-3DQG0:$WUDLQLQJ



6HVVLRQ HFWLRQQGHUVWDQGLQJ

RPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


([HUFLVH'HILQLQJGRPHVWLFYLROHQFH

SHUSHWUDWRUDQGYLFWLP

2EMHFWLYH

7RSURYLGHDSUDFWLFDOH[HUFLVHWRLQWHUQDOLVHWKHJDLQHGNQRZOHGJHIURPWKHVHVVLRQRQDFWV

RIGRPHVWLFYLROHQFH

7RGLVFXVVWKHLGHDRIZKRLVYLFWLPZKRLVSHUSHWUDWRU


3URIHVVLRQDOJURXSVWKDWGHDOZLWKGRPHVWLFYLROHQFHHVSHFLDOO\SURYLQFLDOGLVWULFWDQGFRPPXQH

RIILFLDOVSROLFHDQGORFDODXWKRULWLHV

)DFLOLWDWRU1RWH

7KLVH[HUFLVHVKRXOGKHOSSDUWLFLSDQWVWRSXWLQWRSUDFWLFHWKHNQRZOHGJHJDLQHGIURPWKHVHVVLRQ

RQDFWVRIGRPHVWLFYLROHQFH

0DWHULDOV

6LWXDWLRQFDUGVIHOWSHQVELJSDSHU

7LPH

PLQXWHV

3URFHVV,QVWUXFWLRQV

*URXSZRUN

'LYLGHWKHSDUWLFLSDQWVLQWRVPDOOJURXSVSHRSOHHDFK'LVWULEXWHWRHDFKJURXSRQHRU

WZRVLWXDWLRQFDUGV([SODLQWKDWHDFKJURXSPXVWDQVZHUWKHIROORZLQJTXHVWLRQV

:KDWDUHWKHDFWVRIYLROHQFHGHVFULEHGKHUH"

E&RXOGWKLVEHGHILQHGDVGRPHVWLFYLROHQFH"

F:KRLQWKLVVLWXDWLRQLVWKHSHUSHWUDWRU"G:KRLQWKLVVLWXDWLRQLVWKHYLFWLP"

H,VWKLVDFFRUGLQJWR\RXURSLQLRQDVLWXDWLRQLQZKLFK\RXFDQLQWHUYHQH\HVRUQR"

6PDOOJURXSVGLVFXVVIRUPLQXWHVDQGUHSRUWWKHLUILQGLQJVGXULQJDSOHQDU\VHVVLRQ

)DFLOLWDWRUSUREHVSDUWLFLSDQWVZLWKSRVVLEOHGLVFXVVLRQTXHVWLRQV±FODULI\LQJ

PLVLQWHUSUHWDWLRQVRULQFRUUHFWLQWHUSUHWDWLRQV



6HVVLRQ([HUFLVH'HÀQLQJGRPHVWLFYLROHQFH

SHUSH UD RUDQ Y F P

6HFWLRQQGHUVWDQGLQJ

RPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


LVFXVVLRQ

&DQZHQRWLFH³LQFLGHQWDO´DFWVRIYLROHQFHRUDFWVWKDWVHHPWREHSDUWRIDORQJHUWLPHIUDPH

±SRZHUDQGFRQWUROVLWXDWLRQ"

,VWKHUHDOZD\VRQHYLFWLPRUSHUSHWUDWRU"

:KDWGRZHPHDQE\LQWHUYHQWLRQGRZHFDOORQWKHSROLFHGRZHFRQWDFWWKHYLOODJHRU

FRPPXQHOHDGHUGRZHDVQHLJKERXUVUHODWLYHVRUIULHQGVLQWHUYHQHZKHQWKLVW\SHRIDFWRI

YLROHQFHWDNHVSODFHGRZHVKRZRXUGLVVDSURYDODIWHUZDUGV"



:RUNVKHHW6HVVLRQ

[HUFLVH'H QLQJ RPHV FY R HQFH


*7=7UDLQLQJPDQXDO


$ K X V E D Q G W K U H D W H Q V W R K L W K L V

Z L I H L I V K H U H I X V H V V H [ X D O F R Q W D F W

$ P D Q Y H U E D O O \ D E X V H V K L V Z L I H

H Y H U \ G D \ F D O O L Q J K H U Q D P H V O L N H

V W X S L G G R J

3 O H D

V H D Q V Z H U

W K H I R O O R Z L Q J

T X H V

W L R Q V

: K

D W D U H W K H D F W V R I

Y L R O H Q F H G H V F U L E H G K H U H "

& R X O G W K L V E H G H I L Q H G D V

G R P H V W L F Y L R O H Q F H "

: K

R L Q W K L V V L W X D W L R Q L V

W K H S H U S H W U D W R U "

: K


W K H Y L F

W L P "

, V W K L V D F F R U G L Q J W R \ R X U

R S L Q L R Q D V L W X D W L R Q W K D W \ R X

F D Q L Q W H U Y H Q H \ H V Q R "

3 O H D

V H D Q V Z H U

W K H

I R O O R Z L Q J

T X H

V W L R Q V

: K D W D U H W K H D F W V R I

Y L R O H Q

F H G H V F U L E H G K H U H "

& R

X O G W K L V E H G H I L Q H G D V


: K R L Q W K L V V L W X D W L R Q L V

W K H S H

U S H W U D W R U "


W K H Y L F W L P "



F D Q L Q

W H U Y H Q H \ H V Q R "



:RUNVKHHW6HVVLRQ

([HUFLVH'H QLQJ RPHV FY R HQFH


'RPHVWLF9LROHQFH

*7=7UDLQLQJPDQXDO

LQ&RRSHUDWLRQZLWK0:$

$ Z RP D Q W K U R Z V

D F L G L Q W RK H U

K X V E D Q G ¶ V I D F H D I W H U V K H I R XQ G

R X W K H K D V D PL V W U H V V

$ \ R XQ J E R \ F D O O V

K L V \ R XQ J H U

V L V W H U D G R J D Q G S X

V K H V K H U R X W

RI W K H Z D \

O H D V H DQ VZ H

U

W K HI RO O RZL Q J

T X H V W L RQ V

:K D W D U H W K H D F W V

RI

YL RO H Q F H G H V F U L E H G K H U H "

& R XO G W K L V E H G H I L

Q H G D V

G RP H V W L F YL RO H Q F H "

:K RL Q W K L V V L W X D W

L RQL V

W K H S H U S H W U D W RU "


L RQL V

W K H YL F W L P "

, V W K L V D F F RU G L Q J W

R \ R XU

R SL QL RQ D V L W X D W L RQ W K

D W \ R X

F D QL Q W H U Y H Q H \ H V Q R

"

3O H D V H DQ VZ HU

W K HI RO O RZL Q J

T X H V W L RQ V

:K D W D U H W K H D F W V R

I


& R XO G W K L V E H G H I L Q

H G D V


:K RL Q W K L V V L W X D W L RQL V



W K H YL F W L P "

, V W K L V D F F RU G L Q J W R

\ R XU

R SL QL RQ D V L W X D W L RQ W K D

W \ R X

F D QL Q W H U Y H Q H \ H V Q R "



:RUNVKHHW6HVVLRQ

[HUFLVH'H QLQJ RPHV FY R HQFH


*7=7UDLQLQJPDQXDO


$ Q \ H D U R O G E R \ W K U H D W H Q V

W R E X U Q K L V S D U H Q W ¶ V K R X V H

E H F D X V H W K H \ U H I X V H W R J L Y H K L P

P R Q H \ V R K H F D Q E X \ D O F R K R O

$ P D Q W H O

O V K L V Z L I H V K H F D Q Q R W

O H D Y H W K H

K R X V H K R O G S U H P L V H V

G X U L Q J W K H G D \ E H F D X V H V K H

O R R N V D W

R W K H U P H Q W R R R I W H Q

3 O H D

V H D Q V Z H U


T X H V

W L R Q V

: K





: K



: K


W K H Y L F

W L P "




3 O H D

V H D Q V Z H U

W K H

I R O O R Z L Q J

T X H

V W L R Q V


Y L R O H Q


& R




W K H S H

U S H W U D W R U "


W K H Y L F W L P "



F D Q L Q




:RUNVKHHW6HVVLRQ

([HUFLVH'HÀQLQJ RPHV FY R HQFH


'RPHVWLF9LROHQFH

*7=7UDLQLQJPDQXDO


$I D W K H U P D O W U H D W V K L V

ZK L QL Q J G R J D Q

G E H D W V K L V

W Z R F K L O G U H Q

V H U L R X V O \

$P D QK RO G V K L V ZL I H R Y H U

W K H V W D L U V D Q G W K

U H D W H Q V W R

S X V K K H U G

R ZQ

O H D V H DQ VZ H

U

W K HI RO O RZL Q J

T X H V W L RQ V


RI



Q H G D V



L RQL V



L RQL V

W K H YL F W L P "


R \ R XU


D W \ R X


"

3O H D V H DQ VZ HU

W K HI RO O RZL Q J

T X H V W L RQ V


I



H G D V





W K H YL F W L P "


\ R XU


W \ R X




:RUNVKHHW6HVVLRQ

[HUFLVH'HÀQLQJ RPHV FY R HQFH


*7=7UDLQLQJPDQXDO


$ P D Q

K L W V K L V Z L I H L Q W K H

I D F H Z L W K K L V I L V W E H F D X V H K H

G R H V Q ¶ W O L N H W K H I R R G V K H K D V

F R R N H G

$ Q D G X O W P D Q D V V D X O W V K L V

H O G H U O \ P

R W K H U W L H V K H U W R D

F K D L U D Q G J D J V K H U E H F D X V H

V K H G R H

V Q R W Z D Q W W R J L Y H

P

R Q H \ W R K L P

3 O H D

V H D Q V Z H U


T X H V

W L R Q V

: K





: K



: K


W K H Y L F

W L P "




3 O H D

V H D Q V Z H U

W K H

I R O O R Z L Q J

T X H

V W L R Q V


Y L R O H Q


& R




W K H S H

U S H W U D W R U "


W K H Y L F W L P "



F D Q L Q




:RUNVKHHW6HVVLRQ

([HUFLVH'H QLQJ RPHV FY R HQFH


'RPHVWLF9LROHQFH

*7=7UDLQLQJPDQXDO


$P D Q G H V W U R \ V

SO D W H V D Q G

E U H D N V D G R RU D I W H U K L V ZL I H

G R H V Q R W JL Y H K L P

P RQ H \ W K D W

V K H H D U Q H G E \ V H O O L Q J F D N H V W K D W

G D \

$P D U U L H G Z RP D Q

V O H H S V ZL W K

D Q R W K H U P D Q ZK L O H

K H U K X V E D Q G

K D V D PL V W U H V V

O H D V H DQ VZ H

U

W K HI RO O RZL Q J

T X H V W L RQ V


RI



Q H G D V



L RQL V



L RQL V

W K H YL F W L P "


R \ R XU


D W \ R X


"

3O H D V H DQ VZ HU

W K HI RO O RZL Q J

T X H V W L RQ V


I



H G D V





W K H YL F W L P "


\ R XU


W \ R X




6HVVLRQ HFWLRQQGHUVWDQGLQJ

RPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


5DWLQJVLWXDWLRQVRIYLROHQFH

DSHUVRQDOMXGJHPHQW

2EMHFWLYH

7RXQGHUVWDQGYDULRXVYLROHQWVLWXDWLRQV

7RH[DPLQHFOLFKpVDQGDWWLWXGHVWRZDUGVYLROHQFH

7RH[DPLQHSHUVRQDODWWLWXGHVDQGSHUFHSWLRQVDERXWYLROHQFHYLFWLPVDQGSHUSHWUDWRUV




'HSDUWPHQWVSROLFHORFDODXWKRULWLHVDQGFLYLOVRFLHW\JURXSV

)DFLOLWDWRU1RWH

,WLVLPSRUWDQWWRVWUHVVWKDWWKHDLPRIWKLVH[HUFLVHLVWRH[DPLQHSHUVRQDOMXGJHPHQWVDQG

WKDWLWLVLPSRUWDQWWRUHFRJQL]HDQGDFFHSWWKHLQGLYLGXDOGLIIHUHQFHV

7KURXJKWKLVH[HUFLVHVRPHSDUWLFLSDQWVZLOOEHFRPHDZDUHRIWKHFRQFHDOHGQRUPVDQG

YDOXHVWKH\KDYHDEVRUEHG,QVRFLDOKLHUDUFK\DOONLQGVRILVVXHVFDQSOD\DUROHDJHVH[

SHUVRQDOEDFNJURXQG

0DWHULDOV

)RUHDFKSDUWLFLSDQWDFRS\RIWKHZRUNVKHHWUDWLQJVLWXDWLRQVRIYLROHQFH

7LPH

PLQXWHV

3URFHVV,QVWUXFWLRQV

3UHVHQWWRHDFKSDUWLFLSDQWWKHZRUNVKHHWWKDWOLVWVVLWXDWLRQVRIYLROHQFH$VNSDUWLFLSDQWVWR

VWXG\WKHVHVLWXDWLRQVDQGWU\WRUDQNWKHVLWXDWLRQVVWDUWLQJZLWKWKHVLWXDWLRQVKHIHHOVLVWKHPRVW

VHULRXVDQGHQGLQJZLWKWKHRQHLVWKHOHDVWVHULRXV1XPEHUWKHPRVWVHULRXVVLWXDWLRQWKHQH[W

RQHHWFHWHUD7DNHDERXWPLQXWHVWRGRWKLV

'LVFXVV\RXUUDQNLQJLQSDLUVRUDVPDOOJURXSPD[SHRSOH$OVRGLVFXVV\RXUUHDVRQV

IRUWKLVSDUWLFXODUUDQNLQJ7DNHDERXWPLQXWHV

'LVFXVVWKHILQGLQJVLQWKHZKROHJURXS7DNHDERXWPLQXWHV



6HVVLRQ5DWLQJVLWXDWLRQVRIYLROHQFH

D SHUVRQD X JHPHQ

6HFWLRQQGHUVWDQGLQJ

RPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


LVFXVVLRQ

3DUWLFLSDQWVPLJKWDVNWKHWUDLQHUWROLVWWKH³FRUUHFW´RUGHURIJUDYLW\RUWRPHQWLRQZKLFK

VLWXDWLRQVDUHDFULPLQDORUDFLYLOFDVH,QIRUPWKHSDUWLFLSDQWVWKDWWKLVH[HUHFLVHFDQEHSDUWO\

REMHFWLYHZKHQXVLQJWKHOHJLVODWLRQDQGRULQWHUQDWLRQDOFRQYHQWLRQV+RZHYHUWKHUHLVQRVXFK

WKLQJDVDQDEVROXWHUDQNLQJDQGWKDWZLWKHYHU\MXGJHPHQWSHUVRQDOYDOXHVDUHLQYROYHGEDVHGRQ

SHRSOH¶VEHOLHIVFXOWXUHQRU PVDQGYDOXHV

$VWKHUDWLQJRQHWRHOHYHQPLJKWEHGLIILFXOW±LIQRWSRVVLEOHWRPDNH\RXPLJKWZDQWWRHQG

XSZLWKWKUHHJURXSVRIJUDYLW\LH

YLROHQW±EXWLQFLGHQWDOQRWVHYHUHQRWSXQLVKDEOH

YLROHQW±SRVVLEO\SXQLVKDEOH

YLROHQWYHU\VHYHUHSXQLVKDEOH

:KHQWUDLQLQJSURIHVVLRQDOJURXSVLHWKHOHJDORUMXGLFLDU\ILHOGLW¶VLQDGGLWLRQLPSRUWDQWWR

VWUHVVLVVXHVWKDWDUHGLUHFWO\UHODWHGWRKXPDQULJKWVFRQVWLWXWLRQDOULJKWVLHLPSDUWLDOLW\RIWKH

ODZHQIRUFHUV

RXUFH $GDSWHGIURP:$9(7UDLQLQJSURJUDPPHRQYLROHQFHDJDLQVWZRPHQDQGSUDFWLFDOWUDLQLQJVHVVLRQV

ZLWKWKH56-3DQG0:$WUDLQLQJ

5HODWHGUHIHUHQFHPDWHULDOV&DPERGLDQ HJLVODWLRQDQG,QWHUQDWLRQDO&RQYHQWLRQV



:RUNVKHHW6HVVLRQ

5DWLQJVLWXDWLRQVR YLROHQFH

D U Q DOMX GJ HPH QW

*7=7UDLQLQJPDQXDO


6LWXDWLRQVRI9LROHQFH <RXU5DWLQJ *URXS·V5DWLQJ

$Q\HDUROGER\DVVDXOWVDQROGHUZRPDQWLHV

KHUWRDFKDLUDQGJDJVKHU

$KXVEDQGWKUHDWHQVWRKLWKLVZLIHLIVKHUHIXVHV

VH[XDOFRQWDFW

$PDQYHUEDOO\DEXVHVKLVZLIHHYHU\GD\FDOOLQJ

KHUQDPHVOLNHVWXSLGSLJDQGELWFK

$KXVEDQGNLFNVKLVVL[PRQWKVSUHJQDQWZLIHLQ

WKHEHOO\

$IDWKHUNLFNVKLVZKLQLQJGRJDQGEHDWVKLVWZR

FKLOGUHQVHULRXVO\

$PDQKROGVKLVZLIHRYHUWKHVWDLUVDQGWKUHDWHQV

WRSXVKKHUGRZQ

$PDQWKURZVDFLGLQKLVZLIH¶VIDFHDIWHUKHKDV

IRXQGRXWVKHKDVVOHSWZLWKDQRWKHUPDQ

$PDQKLWVKLVZLIHLQWKHIDFHZLWKKLVILVWV

EHFDXVHKHGRHVQ¶WOLNHWKHIRRGVKHKDVFRRNHG

$PDQORFNVKLVZLIHLQDFORVHWGXULQJWKHGD\

EHFDXVHVKHORRNVDWRWKHUPHQWRRRIWHQ

$\RXQJER\FDOOVDJLUOKLVDJH³ELWFKFRZ´DQG

SXVKHVKHURXWRIWKHZD\

)LYH\RXQJPHQKDYHYLROHQWVH[ZLWKDSURVWLWXWH





6HVVLRQ HFWLRQ QGHUVWDQGLQJ

RPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


%HOLHIVDQGIDFWVDERXWGRPHVWLFYLROHQFH

2EMHFWLYH

7RGHPRQVWUDWHPLVXQGHUVWDQGLQJVDERXWGRPHVWLFYLROHQFH

3DUWLFLSDQWVEHFRPHDZDUHRIWKHLURZQEHOLHIVDQGKRZWKHVHPLJKWLQIOXHQFHWKHLUDWWLWXGHV

WRZDUGVYLFWLPVDQGSHUSHWUDWRUVRIGRPHVWLFYLROHQFH




'HSDUWPHQWVSROLFHORFDODXWKRULWLHVDQGFLYLOVRFLHW\JURXSV

)DFLOLWDWRU1RWH

2QHSXUSRVHRIWKLVVHVVLRQLVWRKHOSSDUWLFLSDQWVLGHQWLI\WKHLURZQDWWLWXGHVYDOXHVDQG

MXGJHPHQWVDQGWRUHDSSUDLVHWKHVHZLWKWKHLQVLJKWVJDLQHGGXULQJWKLVVHVVLRQ7K LVLQVLJKWLV

LPSRUWDQWEHFDXVHLWZLOOLQIOXHQFHSHRSOH¶VRZQDWWLWXGHWRZDUGVYLFWLPVDQGSHUSHWUDWRUVRI

RPHVWLFYLROHQFH

)DFLOLWDWRUVQHHGWREHFRQILGHQWZLWKWKHEHOLHIVGLIIHUHQWLGHDVDQGIDFWVVWDWHGKHUHZKHQ

IDFLOLWDWLQJWKLVVHVVLRQ6HFRQGO\WKH\QHHGWREHDEOHWRKHOSWKHJURXSWKLQNFULWLFDOO\DQG

EHFRPHDZDUHRIWKHL URZQDWWLW XGHVWRZDUGVWKHVHEHOLHIV

7KHIDFLOLWDWRUPLJKWZDQWWRVHOHFWRQO\DQXPEHURIEHOLHIVDQGIDFWVOLVWHGKHUH

HSHQGLQJRQWLPHDYDLODEOHDQGWDUJHWJURXSWREHWUDLQHG

0DWHULDOV

(DFKJURXSQHHGVRQHRUWZRZRUNVKHHWEHOLHIFDUGVZLWKTXHVWLRQVIHOWSHQVODUJHSDSHUWR

UHSRUWKDQGRXW³%HOLHIVDQGIDFWV´WREHSUHVHQWHGDIWHUWKHVHVVLRQ

7LPH

±PLQXWHVGHSHQGLQJRQKRZPDQ\JURXSVWKHUHDUHDQGKRZPXFKWLPHLVWDNHQIRU

GLVFXVVLRQ

3URFHVV,QVWUXFWLRQV

1RWHWKLVDFW LYLW\FDQEHGRQHLQVPDOOJURXSVRUDVSOHQDU\DFWLYLW\

'LYLGHWKHSDUWLFLSDQWVLQWRVPDOOJURXSVRI±SHRSOHHDFK'LVWULEXWHWRHDFKJURXSRQH

EHOLHIFDUG([SODL QWKDWHDFKJURXSPXVWDQVZHUWKHIROORZLQJTXHVWLRQV

,VWKLVVWDWHPHQWWUXH"

:K\LVLWWUXHRUQRWWUXH"



6HVVLRQ%HOLHIVDQGIDFWV

D RX RPHV FY R HQFH

6HFWLRQ QGHUVWDQGLQJ

RPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


:K\GR\RXWKLQNSHRSOHWKLQNOLNHWKLV"

+RZGRHVWKLVEHOLHIDIIHFW\RXUZRUNRUDWWLWXGHWRZDUGVYLFWLPVRIYLROHQFHDQG

SHUSHWUDWRUVRIYLROHQFH"

*LYHHDFKJURXSDSSUR[LPDWHO\PLQXWHVWRDQVZHUVWKHVHTXHVWLRQV7KHIDFLOLWDWRUDVVLVWV

LQGLYLGXDOJURXSVZKHQQHFHVVDU\

$VNJURXSVWRUHSRUWEDFNWRWKHJURXSRQWKHLUVPDOOJURXSGLVFXVVLRQV

7KHIDFLOLWDWRUOLVWHQVDWWHQWLYHO\DQGSUREHVIRUPRUHSOHQDU\GLVFXVVLRQWDNLQJLQWRDFFRXQW

WKHIDFWVOLVWHGZLWKHDFKEHOLHIRUDGGVLQFDVHLQFRUUHFWDQVZHUVDUHJLYHQE\WKHJURXSRURWKHU

SDUW LFLSDQWV

$WWKHHQGRIWKLVDFWLYLW\WKHIDFLOLWDWRUFDQDVNWKHJURXSLIWKH\FDQDGGDQ\RWKHUFRPPRQ

EHOLHIVDQGIDFWVWKDWDUHH[LVWLQJLQW KHLUFRPPX QLW\UHJDUGLQJGRPHVW LFYLROHQFH

$IWHUWKHVHVVLRQJLYHDOOSDUWLFLSDQWVDFRS\RIWKHKDQGRXW³%HOLHIVDQGIDFWV´

2UDOWHUQDWLYHO\DVDSOHQDU\VHVVLRQ

$VNDYROXQWHHUWRUHDGD³EHOLHI´UHJDUGLQJGRPHVWLFYLROHQFHZKLFKWKHZKROHJURXS

ZLOOGLVFXVVIRUWRPLQXWHV7KHSDUWLFLSDQWVUHYLHZHDFKRIWKH³EHOLHIV´LQWKHOLJKWRIWKH

XHVWLRQVOLVWHGDERYH

7KHQDVNDQRWKHUYROXQWHHUWRUHDGWKHDFFRPSDQ\LQJIDFWRUDGGLWLRQDOLGHDVOLVWHGRQWKH

KDQGRXW7KHJURXSWKHQGLVFXVVHVDQGFRQVLGHUVWKHDERYHVWDWHGTXHVWLRQV7KHIDFLOLWDWRUKHOSV

PRGHUDWHWKLVGLVFXVVLRQZLWKRXWJLYLQJDOHFWXUH

$WWKHHQGRIWKLVDFWLYLW\WKHIDFLOLWDWRUFDQDVNWKHJURXSLIWKH\FDQDGGDQ\RWKHUFRPPRQ

EHOLHIVWKDWDUHH[LVWLQJL QWKHLUFRPPXQLW\UHJDUGLQJGRPHVWLFYLROHQFH

$IWHUWKHVHVVLRQJLYHDOOSDUWLFLSDQWVDFRS\RIWKHKDQGRXW³%HOLHIVDQGIDFWV´

6RXUFH $GDSWHGIURP8 1,)(07UDLQLQJPDWHULDOV³/RFDO$FW LRQ*OREDO&KDQJH3$'9WUDLQL QJPDQXDODQG

SUDFWLFDOW UDLQLQJVHVVLRQVZLWKWKH5 6-3DQ 0:$WUDLQLQJ



:RUNVKHHW6HVVLRQ

%HOLH VDQG DFWV

DERXWGRPHVWLFYLROHQFH

*7=7UDLQLQJPDQXDO


% H O L H I

' R P H V W L F T X D U U H O V E H D W L Q J V D Q G

I L J K W V D U H

F K D U D F W H U L V W L F V R I W K H

O L Y H V R I X

Q H G X F D W H G D Q G S R R U

S H R S O H D Q G

R U P H P E H U V R I O R Z H U

V R F L D O F O D V V H V

% H O L H I

' R P H V W L F Y

L R O H Q F H L V D Q L Q W H U Q D O

± I D P L O \ ±

D I I D L U Q R W D V R F L D O

S U R E O H P

, V W K L V V W D W H P H Q

W W U X H "

: K \ L V L W W U X H R

U Q R W W U X H "

: K \ G R \ R X W K L Q N S H R S O H W K L Q N O L N H W K L V "

+ R Z G R H V W K L V E H O L H I D I I H F W \ R X U Z R U N R U D W W L W X G H

W R Z D U G V Y L F W L P V R I Y L R O H Q F H D Q G S H U S H W U D W R U V R I

Y L R O H Q F H "

, V W K L V V W D W H P H Q W W U X H "

: K \ L V L W W U X H R U Q R W W U X H "

: K \ G R \ R X W K

L Q N S H R S O H W K L Q N O L N H W K L V "

+ R Z G R H V W K L V

E H O L H I D I I H F W \ R X U Z R U N R U D W W L W X G H


Y L R O H Q F H "



:RUNVKHHW6HVVLRQ

HOLH VDQG DFWV


'RPHVWLF9LROHQFH

*7=7UDLQLQJPDQXDO


% HO L HI

³ ' RQ¶ W E U L Q J W K H I L U H SU R E O H P V

R X W RI W K H K R X V H K RO G ´

% HO L HI

$P D Q S XQL V K H V K L V ZL I H E H F D X V H

V K H JL Y H V K L P D U H D V RQ W R G R V R


:K \L V L W W U X H RU Q R W W U X H "

:K \ G R \ R X W K L QN S H R SO H W K L Q

N O L N H W K L V "

+ R Z G R H V W K L V E H O L H I D I I H F W \ R XU Z RU N RU D W W L W X G H

W R Z D U G V YL F W L P V RI YL RO H Q F H D Q G S H U S H W U D W RU V RI

YL RO H Q F H "



:K \ G R \ R X W K L QN S H R SO H W K L QN O L N H W K L V "

+ R Z G R H V W K L V E H O L H I D I I H F W \ R XU Z RU N RU D W W L W X G H

W R Z D U G V YL F W L P V RI YL RO H Q F H D Q G S H U S H W U D W RU V RI

YL RO H Q F H "



:RUNVKHHW6HVVLRQ

%HOLH VDQG DFWV


*7=7UDLQLQJPDQXDO


% H O L H I

0 H Q X V H Y L R O H Q F H Z K H Q W K H \

D U H G U X

Q N D Q G G R Q R W N Q R Z

Z K D W W K H \ D U H G R L Q J

% H O L H I

9 L R O H Q F

H L Q D I D P L O \ L V Q R W

V R V H U L R X

V ± H Y H U \ F R X S O H K D V

T X D U U H O V V R P H W L P H V

, V W K L V V W D W H P H Q

W W U X H "

: K \ L V L W W U X H R

U Q R W W U X H "

: K \ G R \ R X W K L

Q N S H R S O H W K L Q N O L N H W K L V "

+ R Z G R H V W K L V E

H O L H I D I I H F W \ R X U Z R U N R U D W W L W X G H

W R Z D U G V Y L F W L P V R I Y L R O H Q F H D Q G S H U S H W U D W R U V R

Y L R O H Q F H "


: K \ L V L W W U X H R U Q R W W U X H "

: K \ G R \ R X W K

L Q N S H R S O H W K L Q N O L N H W K L V "

+ R Z G R H V W K L V

E H O L H I D I I H F W \ R X U Z R U N R U D W W L W X G H


Y L R O H Q F H "



:RUNVKHHW6HVVLRQ

HOLHIVDQGIDFWV


'RPHVWLF9LROHQFH

*7=7UDLQLQJPDQXDO


% HO L HI

& K L O G U H QQ H H G W K H L U I D W K H U

W K H U H I RU H Z RP H Q

V K R XO G Q R W

G L Y RU F H W K H L U K X V E D Q G



:K \ G R \ R X W K L QN S H R SO H W K L Q

N O L N H W K L V "

+ R Z G R H V W K L V E H O L H I D I I H F W \ R X

U Z RU N RU D W W L W X G H

W R Z D U G V YL F W L P V RI YL RO H Q F H D Q G S

H U S H W U D W RU V RI

YL RO H Q F H "



*7=7UDLQLQJPDQXDO


+DQGRXW6HVVLRQ

HOLH VDQG DFWV

ERXWGRPHVWLFYLROHQFH

%HOLHIVDQGIDFWV

%HOLHI'RPHVWLFTXDUUHOVEHDWLQJVDQGILJKWVDUHFKDUDFWHULVWLFVRIWKHOLYHVRIXQHGXFDWHGDQGSRRUSHRSOHDQGRU

PHPEHUVRIORZHUVRFLDOFODVVHV

)DFWV

'RPHVWLFYLROHQFHKDVQRHFRQRPLFHWKQLFRUFODVVGLVWLQFWLRQV,WKDSSHQVHYHU\ZKHUHLQDOOVRFLDO

FODVVHVDQGJURXSV

,Q&DPERGLDSRRUSHRSOHOLYHRQ

WKHVWUHHWVRULQVPDOOHUPRUHRSHQ

KRXVHVWKHUHIRUHZKHQFRXSOHVILJKW

LWLVHDVLHUIRUWKHQHLJKERXUKRRGWRQRWLFHLWDQGWKLVPLJKWIHHGWKHFRP

PRQEHOLHIWKDWRQO\SRRUSHRSOHKDYH

ILJKWV

6RPHVWDWLVWLFDOGDWDZLOOUHSRUWD

KLJKHUUDWHRIGRPHVWLFYLROHQFHLQ

ORZHUFODVVHV+RZHYHUPRUHHGXFDWHG

RUSRZHUIXOSHRSOHPLJKWEH³PRUH

HPEDUUDVVHG´WRUHSRUWGRPHVWLFYLR

OHQFHWKLQNLQJWKH\ZLOOORVHIDFH

'DWDIURPWKH&DPERGLDQ'HPRJUDSKLFDQG+HDOWK6XUYH\VKRZV

WKDWDOPRVWRQHRXWRIHYHU\IRXU

&DPERGLDQZRPHQLQWKHDJHUDQJH

RI±\HDUVRIDJHZKRKDYEHHQ

PDUULHGKDVH[SHULHQFHGSK\VLFDOYLROHQFHE\KHUSDUWQHURUDFORVHUHODWLYH7KHPRVWFRPPRQIRUPRI

YLROHQFHLVYLROHQFHE\FXUUHQWRUSUHYLRXVKXVEDQGVRIWKRVHZRPHQUHSRUWHGYLROHQFHE\DKXVEDQG

'DWDIURPWKH&DPERGLD1DWLRQDO<RXWK5LVN%HKDYLRXU6XUYH\UHSRUWVWKDWDTXDUWHURIWKHUH

VSRQGHQWV\RXWKDJHV\HDUVROGVDLGGRPHVWLFYLROHQFHRFFXUUHGLQWKHLUIDPLO\GXULQJWKHSUHYLRXV

GD\V

%HOLHI

'RPHVWLFYLROHQFHLVDQLQWHUQDO±IDPLO\ ± DIIDLUQRWDVRFLDOSUREOHP

)DFWV

9LROHQFHDJDLQVWZRPHQDQGFKLOGUHQLQFXUVKLJKFRVWVIRUVRFLHW\)RUH[DPSOHPHGLFDOWUHDWPHQW

GDPDJHRISURSHUW\ORVVRIDELOLW\WRZRUNDQGHDUQDQLQFRPHFKLOGUHQXQDEOHWRJRWRVFKRRODQGPRUH



*7=7UDLQLQJPDQXDO


+DQGRXW6HVVLRQ

HOLH VDQG DFWV


7KHH[LVWLQJ&DPERGLDQFULPLQDOODZVGRQRWH[FOXGH

IDPLO\PHPEHUVIURPSXQLVKPHQWLIWKH\FRPPLWDQDFWRI

YLROHQFH7KHUHIRUHORFDODXWKRULWLHVDQGMXGLFLDU\KDYHDGXW\WRLQWHUYHQHLQFDVHDYLROHQWDFWLVFRPPLWWHG

,QWHUQDWLRQDOKXPDQULJKWVODZVWKDW&DPERGLDLVVLJQD

WRU\RIDQGWKH&DPERGLDQ&RQVWLWXWLRQVWLSXODWHWKHULJKW

IRUDOOKXPDQVPHQZRPHQDQGFKLOGUHQWKHULJKWWROLIH

SHUVRQDOIUHHGRPDQGVHFXULW\LH&DPERGLDQ&RQVWLWXWLRQ

VWDWHV

DUWLFOHHYHU\SHUVRQKDVWKHULJKWWROLIHSHUVRQDOIUHHGRP

DQGVHFXULW\

DUWLFOHWKHODZVKDOOSURWHFWOLIHKRQRXUDQGGLJQLW\

DUWLFOHSURWHFWLQJWKHULJKWVRIFKLOGUHQ

HOLHI

³'RQ¶WEULQJWKHILUHSUREOHPVRXWRIWKHKRXVHKROG

4XRWHIURPWKH³&KEDE6UHL´DQ.KPHUSRHPVD\LQJWKDWD

³JRRG´ZRPDQZLOOQRWWHOORWKHUSHRSOHDERXWSUREOHPVZLWKLQ

KHUKRXVHKROG0RUHRYHULWPHDQVWKDWZRPHQVKRXOGQRWWHOO

RWKHUSHRSOHWRVHHNVROXWLRQVIRUKHUSUREOHPVDQGZRPHQ

VKRXOGHQGXUHDQXQKDSS\PDUULDJH

DFWV

7KLVWUDGLWLRQDOVD\LQJLVHPSKDVLVLQJWKHWUDGLWLRQDOEHOLHIVWKDWDZRPHQVKRXOGEHVXEPLVVLYHWRKHU

KXVEDQGDQGWKDWGRPHVWLFYLROHQFHLVDQLQWHUQDODIIDLU+RZHYHUE\&DPERGLDQ&RQVWLWXWLRQDUWLFOH

DQGDQG0DUULDJHDQG)DPLO\/DZDUWLFOHKXVEDQGDQGZLIHDUHHTXDOLQDOODVSHFWVWKHUHZLOOEH

QRGLVFULPLQDWLRQDQGSK\VLFDODEXVH7KHUHIRUHWKHUHLVQRUHDVRQWKDWDZLIHVKRXOGEHVXEPLVVLYHWRKHU

KXVEDQGQHLWKHUWKDWDKXVEDQGQHHGVWREHVXEPLVVLYHWRKLVZLIH

2IWHQYLFWLPVRIYLROHQFHDUHUHOXFWDQWWRWHOORWKHUSHRSOHWKDWWKH\DUHDEXVHGEHFDXVHWKH\DUH

DVKDPHGIRUH[DPSOHDZRPDQPLJKWVD\VKHIHOOGRZQWKHVWDLUVDQGEURNHKHUDUPKRZHYHUWKHWUXH

VWRU\LVWKDWVKHZDVEHDWHQE\KHUKXVEDQG

:RPHQVKRXOGEHHQFRXUDJHGWRVSHDNRXWHYHQDERXWWKHLUSULYDWHDIIDLUVLIWKH\DUHKXUWDQGKDUPHG E\WKHLUKXVEDQGRURWKHUSHRSOHLQWKHLUKRXVHKROG$VVWDWHGEHIRUHLIDYLROHQWDFWLVFRPPLWWHGZRPHQ

KDYHWKHULJKWWRVSHDNDERXWWKLVDQGUHTXHVWDVVLVWDQFH7KLVULJKWLVJUDQWHGWRWKHPE\WKH&DPERGLDQ

&RQVWLWXWLRQDVZHOODVWKH8QLWHG1DWLRQV'HFODUDWLRQRQWKH(OLPLQDWLRQRI9LROHQFH$JDLQVW:RPHQ

ZKLFK&DPERGLDLVVLJQDWRU\RI$GGLWLRQDOO\LWLVWKHGXW\RIWKHDXWKRULWLHVWRVXSSRUWDYLFWLPRI

YLROHQFHLQDQ\ZD\WKH\FDQLQVWHDGRIEODPLQJKHU



+DQGRXW6HVVLRQ

HOLH VDQG DFWV

ERXWGRPHVWLFYLROHQFH

%HOLHI

$PDQSXQLVKHVKLVZLIHEHFDXVHVKHJLYHVKLPDUHDVRQWRGRVR

)DFWV

1RWLFHWKDWDEXVHUVZLOODOPRVWDOZD\VWU\WRILQGDQH[FXVHIRUWKHLUDFWLRQVQRPDWWHUZKDWWKHLUWDUJHW

GRHVRUGRHVQRWGR

1RWHWKDWDQDEXVHUXVXDOO\FRQVFLRXVO\FKRRVHVZKHQWRDEXVHKLVYLFWLPLHZKHQWKHFRXSOHLVDORQH

ZKHQWKHUHDUHQRZLWQHVVHVLIWKHUHLVDZLWQHVVWKHQXVXDOO\DFKLOG7KHDEXVHUPRVWRIWHQKDVWKH

FRQWURORYHUZKRPKHDEXVHVQRWKLVIULHQGVKLVERVVKLVFROOHDJXHVEXWKLVSDUWQHU+HKDVFRQWURORYHU

KRZRIWHQDQGKDUGKHKLWVKHU

7KLVFRPPRQLGHDLOOXVWUDWHVWKDWDFFRUGLQJWRWUDGLWLRQWKHPDQLVWKHKHDGRIWKHIDPLO\DQGWKDWWKH

ODZLVRQKLVVLGHVRWKDWKHFDQ³HGXFDWH´KLVSDUWQHUZLIHRUFKLOGUHQHYHQLIWKLVZRUGPHDQV³SXQLVK

,IZHDFFHSWWKLVEHOLHIWKHQZHDFFHSWWKHIDFWWKDWDPDQKDVLQFHUWDLQFLUFXPVWDQFHVWKHULJKWWRXVH

YLROHQFHHVSHFLDOO\ZKHQWKHZRPDQSURYRNHVKLP7KLVWUDGLWLRQDOLGHDLVDJDLQVWDOO,QWHUQDWLRQDO

&RQYHQWLRQVWKDW&DPERGLDKDVVLJQHGDVZHOODVWKH&DPERGLDQ&RQVWLWXWLRQDQG0DUULDJHDQG)DPLO\

/DZVHHIDFWVDQG

%HOLHI

0HQXVHYLROHQFHZKHQWKH\DUHGUXQNDQGGRQRW

NQRZZKDWWKH\DUHGRLQJ

)DFWV

$OFRKROFDQOHDGWRYLROHQFHDJDLQVWZRPHQ

EXWLWGRHVQRWFDXVHLWLWLVXVHGDVDQH[FXVH

6RPHPHQDUHYLROHQWRQO\ZKHQWKH\KDYH

EHHQGULQNLQJRWKHUVRQO\ZKHQWKH\DUHVREHU

1RWH'ULQNLQJZLQHLVOHJDOEXWKLWWLQJ

RUGHVWUR\LQJSURSHUW\ZKHQGUXQNLVDOZD\V

LOOHJDO

3HRSOHRIWHQGULQNLQRUGHUWRIRUJHWWKHLU

SUREOHPVRUUHOHDVHVWUHVVKRZHYHUGULQNLQJ

UHJXODUODUJHDPRXQWVRIDOFRKROFDQOHDGWRDGGLFWLRQDQGLWZLOOQHYHUVROYHSUREOHPV

0RUHRYHULWZLOOFUHDWHPRUHSUREOHPV

Documents

Domestic Violence: A Training Manual To Raise Awareness- GTZ/MWA