You are on page 1of 28

PROGRAMS FOR MEN WHO HAVE

USED VIOLENCE AGAINST WOMEN:


Recommendations for Action and Caution
I. INTRODUCTION Programs for Men who have used IPV
YLMLYYLK[V[OYV\NOV\[[OPZIYPLUNWHWLY1 as
PM-IPV2  YLMLYZ [V WYVNYHTZ MVY TLU ^OV
1XPHURXV VWXGLHV DIILUP WKDW YLROHQFH FRPPLWWHG E\ D
have used violence with their female intimate
PDOHSDUWQHUDQGDJDLQVWDIHPDOHSDUWQHU LQWLPDWHSDUWQHU
YLROHQFH RU ,39  LV D ZRUOGZLGH SKHQRPHQRQ 5HFHQW WHY[ULYZ WO`ZPJHS ZL_\HS WZ`JOVSVNPJHS 
,0$*(6UHVHDUFKIRXQGWKDWWRSHUFHQWRIPHQUHSRUWHG LTV[PVUHS]PVSLUJL[OYLH[ZVM]PVSLUJLHUK
XVLQJ,39ZKLOHZRPHQUHSRUWHGH[SHULHQFLQJVOLJKWO\KLJKHU other forms of controlling behavior).
UDWHVRI,39 OLIHWLPHUDWHVDFURVVVL[FRXQWULHV  %DUNHUHW
DO 7KH:+2WHQFRXQWU\VWXG\ *DUFD0RUHQRHWDO
 IRXQGZRPHQVOLIHWLPHUHSRUWVRI,39ZHUHEHWZHHQ :KDWZRUNVWRKROGPHQZKRKDYHXVHGYLROHQFHDFFRXQWDEOH
DQGSHUFHQW ZLWKPRVWHVWLPDWHVEHWZHHQDQG DQGSUHYHQWIXUWKHUDEXVH"7KH:+2LQOHGDJOREDO
SHUFHQW  UHYLHZRI30,39 5RWKPDQHWDO ,Q81:RPHQDV
SDUWRIWKHLUZRUNZLWKPHQDQGER\VFUHDWHGDNQRZOHGJH
7KHHPHUJHQFHRIVKHOWHUVDQGRWKHUVHUYLFHVIRUVXUYLYRUV PRGXOH RQ WKH VXEMHFW WKDW LQFOXGHG D UHYLHZ RI IXUWKHU
RI,39PDUNHGWKHILUVWUHVSRQVHVWRGRPHVWLFYLROHQFHDV HYDOXDWLRQ UHVHDUFK RQ 30,39 LQWHUQDWLRQDOO\ *XHGHV
SDUWRIWKHPRYHPHQWWRHQGYLROHQFHDJDLQVWZRPHQ)URP   %RWK GRFXPHQWV QRWHG WKH GHDUWK RI HYDOXDWLRQ
WKLVEHJLQQLQJWKHTXHVWLRQHPHUJHGRIZKDWWRGRZLWKPHQ HYLGHQFH IURP WKH *OREDO 6RXWK DQG OLPLWDWLRQV RI 30,39
ZKRKDYHXVHG,393URJUDPVIRUPHQZKRKDYHXVHG,39 SURJUDPVLQWKH*OREDO1RUWK
{ UHIHUUHG WR DV 30,39 IRU WKH SXUSRVH RI WKLV SDSHU {
HPHUJHGLQWKHVLQWKH86DQGSDUWVRI(XURSHDQG 6LPLODUO\ WKH SULQFLSDO ILQGLQJV RI WKLV SDSHU DUH WKDW WKH
PRUHUHFHQWO\DUHEHLQJLPSOHPHQWHGLQSDUWVRIWKH*OREDO HIIHFWLYHQHVVRIVXFKSURJUDPVUDQJHVIURPORZWRPRGHUDWH
6RXWK $ QXPEHU RI ORZ DQG PLGGOHLQFRPH FRXQWULHV DQGWKDWWKHHYLGHQFHODUJHO\FRPHVIURPPRGHOVGHYHORSHG
SULPDULO\LQ/DWLQ$PHULFD %UD]LO0H[LFRDQGWKH'RPLQLFDQ DQG LPSOHPHQWHG LQ 1RUWK $PHULFD DQG :HVWHUQ (XURSH
5HSXEOLF KDYHVWDUWHGWRSURYLGHSXEOLFUHVRXUFHVIRUVXFK VHH)XWXUHV:LWKRXW9LROHQFH&DUWHUDQG*RQGROI
SURJUDPV DV SDUW RI D PXOWLVHFWRUDO UHVSRQVH WR JHQGHU IRUUHFHQWOHDGLQJZRUNEDVHGLQ1RUWK$PHULFD 
EDVHGYLROHQFH *%9 7KHUHDUHRQJRLQJGHEDWHVDERXWWKH 7R GDWH WKHUH LV IDU OHVV XQGHUVWDQGLQJ RI SUDFWLFHV DQG
HIIHFWLYHQHVV RI 30,39 KRZHYHU DQG WKXV ZKHWKHU WKH\ HYLGHQFH LQ GLYHUVH LQWHUQDWLRQDO VHWWLQJV SDUWLFXODUO\ LQ
DUH ZRUWK\ RI LQYHVWPHQW *LYHQ WKH OLPLWHG UHVRXUFHV IRU ORZLQFRPH DQG *OREDO 6RXWK VHWWLQJV ,Q WKHVH SODFHV
SUHYHQWLRQRIYLROHQFHDJDLQVWZRPHQDQGUHPHGLDWLRQWKH DV HIIRUWV WR HQG YLROHQFH DJDLQVW ZRPHQ KDYH H[SDQGHG
TXHVWLRQRIZKHWKHUDQGLQZKDWFRQGLWLRQV30,39ZRUNLVD WKHUHKDVEHHQDJURZLQJHPHUJHQFHRI30,396RPHRI
FULWLFDOHWKLFDOLVVXHLQWKHILHOGRI,39 WKHVHSURJUDPVKRZHYHUKDYHHPHUJHGZLWKOLWWOHSODQQLQJ
UHVRXUFHV H[SHUWLVH RU HYDOXDWLRQ 8QGHU ZHOOLQWHQWLRQHG


7KLVSDSHUZDVZULWWHQE\$OLFH7D\ORUDQG*DU\%DUNHUZLWKFRRUGLQDWLRQIURP*DU\%DUNHUDQG7DWLDQD0RXUDRI3URPXQGR'HDQ3HDFRFNRIWKH6RQNH*HQGHU
-XVWLFH1HWZRUNDQG5DFKHO3ORHPIURP5XWJHUV:3)7KHDXWKRUVZRXOGDOVROLNHWRWKDQNWKHIROORZLQJSHRSOHIRUWKHLUYDOXDEOHUHYLHZVRIDQGFRQWULEXWLRQVWR
WKHSDSHU)HUQDQGR$FRVWD)UDQFLVFR$JXD\R0DULD-RV $OFDOD&KXFN'HUU\6LPRQH*RPHV$OH[D+DVVLQN%RLP+DV\LP.ODV+\OODQGHU-DQH.DWR:DOODFH
0LFKDHO.DXIPDQ'DQLHO/LPD=DULQD0DMLHW0DULQD0DQFLQHOOL7DWLDQD0RXUD%DUEDUD0XVXPHFL0RXUR5DFKHO3ORHP+HOHQ5XEHQVWHLQ2VZDOGR0RQWR\D
7HOOHULD,QH9DQZHVHQEHHFN&DUORV=XPDDQGSDUWLFLSDQWVRIWKH0HQ(QJDJH6WHHULQJ&RPPLWWHHPHHWLQJWRZKRPWKLVSDSHUZDVSUHVHQWHGDQGZKRFRPPHQWHG
XSRQLWEHIRUHILQDOUHYLVLRQV7KDQNVDOVRWR.DWKHULQH/HZLVZKRHGLWHGWKHILQDOSDSHUDQG$OH[D+DVVLQNIRUFUHDWLQJWKHOD\RXW6XJJHVWHGFLWDWLRQ7D\ORU$ 
%DUNHU*  3URJUDPVIRU0HQ:KR+DYH8VHG9LROHQFHZLWKDQ,QWLPDWH3DUWQHU 30,39 5HYLHZLQJ*OREDO3UDFWLFHVDQG(IIHFWLYHQHVV5LRGH-DQHLUR%UD]LO
:DVKLQJWRQ'&3URPXQGR5XWJHUV:3)0HQ(QJDJHDQG0HQ&DUH

30,39DUHDOVRFDOOHGEDWWHUHULQWHUYHQWLRQSURJUDPVRUSURJUDPVIRUSHUSHWUDWRUV0HQZKRSDUWLFLSDWHLQWKHVHLQWHUYHQWLRQVPD\KDYHDOVRXVHGYLROHQFHVXFK
DVVH[XDORUSK\VLFDOYLROHQFHDJDLQVWQRQLQWLPDWHSDUWQHUVEXWWKH\KDYHHQWHUHGSURJUDPVIRUWKHLUXVHRI,39PRVWRIWHQLQWKHGRPHVWLFVSKHUH7KLVSDSHUDOVR
IRFXVHVRQJURXSSURJUDPVUDWKHUWKDQRQLQGLYLGXDOFRXQVHOLQJDQGRQWKRVHGLUHFWHGWRZDUGKHWHURVH[XDOPHQ DJURZLQJQXPEHURISURJUDPVDOVRDGGUHVV,39
FRPPLWWHGZLWKLQVDPHVH[UHODWLRQVKLSV 'XULQJWKLVUHYLHZ0HQ(QJDJHFROOHDJXHVQRWHGWKDWSUDFWLWLRQHUVRI30,39DFURVVWKHZRUOGZHUHFRQFHUQHGDERXWD
UHGXFWLRQLVWPHDQLQJLQWKHODEHOVRI|EDWWHUHU}RU|SHUSHWUDWRU}7KHDYRLGDQFHRIWKRVHWHUPVDQGWKHQDPLQJRISURJUDPVDFFRUGLQJWR|30,39}GRHVQRWVHHNWR
UHGXFHWKHUHVSRQVLELOLW\RUWDNHDZD\IURPWKHVHULRXVQHVVRIWKHDFWEXWWULHVWRJLYHDPRUHFRPSOH[YLHZRIPHQZKRVHOLYHVDUHPRUHFRPSOLFDWHGWKDQWKHLUDFWV
RIYLROHQFHDQGZKRWKHPVHOYHVKDYHRIWHQEHHQYLFWLPVRUZLWQHVVHVRIYLROHQFH)URPWKLVSHUVSHFWLYHPHQFDQFKDQJHWREHFRPH~PHQZKRGRQRWXVHYLROHQFH
RUVHHWKHPVHOYHVDVVRPHRQHRWKHUWKDQDEDWWHURUSHUSHWUDWRU

7KHLQLWLDOVL[FRXQWULHVLQFOXGHGLQWKH,QWHUQDWLRQDO0HQDQG*HQGHU(TXDOLW\6XUYH\ ,0$*(6 ZHUH%UD]LO&KLOH&URDWLD,QGLD0H[LFRDQG5ZDQGD)LQGLQJVIURP
WKHIROORZLQJWHQFRXQWULHVZHUHSUHVHQWHGLQWKH:+2FRXQWU\UHSRUWFLWHG%DQJODGHVK%UD]LO(WKLRSLD-DSDQ1DPLELD3HUX6DPRD6HUELDDQG0RQWHQHJUR
7KDLODQGDQG7DQ]DQLD,0$*(6FROOHFWHGGDWDRQZRPHQVDQGPHQVSHUFHSWLRQVRIJHQGHUHTXDOLW\RXWFRPHVLQFOXGLQJ,39DQGWKH:+2VWXG\IRFXVHGRQ
ZRPHQVH[SHULHQFHVRIYLROHQFH
1
EXW SUHFDULRXV FRQGLWLRQV WKHUH LV FRQFHUQ WKDW VWDQGDUGV
PD\QRWEHLQSODFHWRHQVXUHWKHVDIHW\RIZRPHQDQGIDPLO\ 7KH0HWKRGRORJ\IRUWKLV%ULHILQJ3DSHU
PHPEHUVRUWKDWSURJUDPVPD\EHLQHIIHFWLYH$OVRZKLOH
WKHOLWHUDWXUHRQEHVWSUDFWLFHVIRUFXOWXUDOUHOHYDQFHWRUDFLDO f /LWHUDWXUH UHYLHZ RYHU  SHHUUHYLHZHG
HWKQLF PLQRULW\ DQG LPPLJUDQW JURXSV LQ WKH *OREDO 1RUWK DUWLFOHV UHSRUWV DQG JUH\ OLWHUDWXUH ZLWK RYHU
LV H[SDQGLQJ DQG KDV VDOLHQW LPSOLFDWLRQV IRU WKH GHVLJQ WLWOHVLGHQWLILHG
RI FXOWXUDOO\ UHOHYDQW SURJUDPV LQ *OREDO 6RXWK FRXQWULHV f 3KRQH DQG 6N\SH LQWHUYLHZV ZLWK VWDII ZKR
SURJUDPVIURPWKH*OREDO1RUWKFDQQRWVLPSO\EHUHSOLFDWHG ZRUNLQWKUHHFDWHJRULHVRILQWHUYHQWLRQV WRWDO
LQWKH*OREDO6RXWK Q  

6RPH HYLGHQFH KDV VKRZQ SRVLWLYH FKDQJHV IRU PHQ ZKR  3URJUDPVIRUPHQZKRKDYHXVHG,39
FRQVLVWHQWO\ SDUWLFLSDWH LQ 30,39 WKDW DSSO\ FXUUHQW EHVW f %UD]LO ,6(5z6(5+SURJUDP
SUDFWLFHV EXW PRUH UHVHDUFK LV QHHGHG LQWR ERWK SURJUDP f 'HQPDUN,FHODQG1RUZD\6ZHGHQ
HIILFDF\ DQG ZKDW EHVW SUDFWLFHV VKRXOG EH )RU H[DPSOH $OWHUQDWLYHVWR9LROHQFH 
SURJUDPVVKRXOGPRQLWRUIRUULVNHVFDODWLRQLQPDQ\FDVHV f 0R]DPELTXH +23(0
VXFKPRQLWRULQJPD\QRWRWKHUZLVHRFFXU,QGHHGLWLVWKLV f 1LFDUDJXD %3%9
PRPHQW RI JURZWK { DFFRPSDQLHG E\ D PL[ RI SURPLVH f 8QLWHG.LQJGRP 5(63(&7
FRQFHUQ DQG VORZO\ HPHUJLQJ UHVHDUFK { WKDW SURPSWHG
0HQ(QJDJHDQGLWVSDUWQHUVWRGHYHORSWKLVEULHILQJSDSHU    6HUYLFHV IRFXVHG RQ ZRPHQ FKLOGUHQ DQG
RQWKHVXEMHFW \RXWK VXUYLYRUV WKDW LQ UHFHQW \HDUV KDYH DGGHG
LQWHUYHQWLRQVIRUPHQZKRKDYHXVHG,39
2QH RI WKH UHDVRQV IRU WKH GLIILFXOW\ RI WKH TXHVWLRQ |$UH f +RQGXUDV &DVDGHO%LHQ(VWDU
30,39HIIHFWLYHLQUHGXFLQJWKHUHFXUUHQFHRI,39"}LVLWV f ,QGRQHVLD 5LIND$QQLVD:RPHQV&ULVLV
FRPSOH[LW\ VLQFH WKH IDFWRUV XQGHUO\LQJ ,39 YDU\ ZLGHO\ &HQWHU
GHSHQGLQJRQFRQWH[WWKHQDWXUHRIWKHUHODWLRQVKLSEHWZHHQ f 6RXWK$IULFD 0RVDLF7UDLQLQJ6HUYLFH 
SHUSHWUDWRUDQGVXUYLYRUDQGWKHLQGLYLGXDOSHUSHWUDWRUVRU +HDOLQJ&HQWHUIRU:RPHQ
VXUYLYRUV WKHPVHOYHV 7R EHWWHU XQGHUVWDQG WKH GULYHUV RI f 9LHWQDP &HQWHUIRU$SSOLHG6FLHQFHVLQ
,39PDQ\UHVHDUFKHUVDQGSURJUDPVWDIIFXUUHQWO\XVHWKH *HQGHUz&6$*$
HFRORJLFDOPRGHOZKLFKVWUHVVHVWKDWSHUVRQDOUHODWLRQVKLS
IDPLO\ FRPPXQLW\ DQG EURDGHU VRFLDO G\QDPLFV LQFOXGLQJ     5HVHDUFKHUV DQG H[SHUWV IURP WKH IROORZLQJ
FXOWXUDOO\ VDOLHQW JHQGHU QRUPV DQG SRZHU VWUXFWXUHV DUH LQVWLWXWLRQVWKH1DWLRQDO/DWLQ#1HWZRUNIRU+HDOWK\
DOO IDFWRUV FRQWULEXWLQJ WR ,39 7R EH ZHOOGHVLJQHG 30 )DPLOLHVDQG&RPPXQLWLHV&DVDGH(VSHUDQ]D86
,39PXVWWDNHWKHVHFRPSOH[LQWHUSHUVRQDODQGFRQWH[WXDO &HQWHUIRU6HFXULW\DQG&LWL]HQVKLS6WXGLHV &(6H& 
LQWHUDFWLRQVLQWRDFFRXQWDQGDSSO\DYDULHW\RIDSSURDFKHV %UD]LO 0HQ IRU *HQGHU (TXDOLW\ 6ZHGHQ WKH &KLOG
7KLVFRPSOH[LW\DOVRSRVHVPDMRUFKDOOHQJHVWRFRQWUROOLQJ DQG:RPDQ$EXVH6WXGLHV8QLW/RQGRQ0HWURSROLWDQ
IRUYDULDEOHVLQ30,39HYDOXDWLRQV 8QLYHUVLW\ (QJODQG WKH 'HSDUWPHQW RI &RPPXQLW\
+HDOWK 6FLHQFHV %RVWRQ 8QLYHUVLW\ 86 WKH 0LG
7KLV EULHILQJ SDSHU LV GLUHFWHG WRZDUG 81 DJHQFLHV $WODQWLF$GGLFWLRQ7UDLQLQJ,QVWLWXWH86&XOWXUD6DOXG
JRYHUQPHQW VWDII DQG SROLF\PDNHUV GRQRUV SUDFWLWLRQHUV &KLOHDQG5XWJHUV:3)WKH1HWKHUODQGV
DQG UHVHDUFKHUV LQ WKH ILHOG RI ,39 DQG LWV SUHYHQWLRQ DQG
WUHDWPHQW ,W LV QHLWKHU DQ LPSOHPHQWDWLRQ PDQXDO QRU D
FRPSUHKHQVLYH RU &RFKUDQHVW\OH HYDOXDWLRQ UHYLHZ EXW UHYLHZ WKDW EXLOGV RQ WZR SULPDU\ UHYLHZV FRQGXFWHG
UDWKHUDLPVWRLGHQWLI\WUHQGVDQGWRLQIRUPSURJUDPPLQJDQG SUHYLRXVO\WKH:+2UHYLHZ 5RWKPDQHWDO DQGWKH
UHVHDUFKDQGWRSURYLGHDZRUGRIFDXWLRQLQLPSOHPHQWLQJ 81:RPHQ9LUWXDO.QRZOHGJH&HQWUHIRU(QGLQJ9LROHQFH
30,39 ,W DOVR LQWHQGV WR SURYLGH DQ XSGDWHG OLWHUDWXUH DJDLQVW :RPHQ DQG *LUOV ZKLFK LQFOXGHV D UHYLHZ XS WR
RISURJUDPVIRUPHQZKRXVH,39 *XHGHV 


,QRUGHUWRSUHSDUHWKLVUHYLHZZHLQWHUYLHZHGRUJDQL]DWLRQVDQGLQGLYLGXDOVZKRZRXOGKDYHLQVLJKWVLQWRWKHFKDOOHQJHVDQGFRPSOH[LWLHVWKDWDULVHLQGLYHUVHVHWWLQJV
6WDWLVWLFDOO\PRVWPHQZKRDUHNQRZQWRKDYHXVHG,39DUHKHWHURVH[XDOPHQVRSURJUDPPLQJDQGUHVHDUFKKDYHIRFXVHGRQWKHYLROHQFHFRPPLWWHGE\WKHVHPHQ
)XUWKHUUHVHDUFKDQGLQWHUYHQWLRQVDUHQHHGHGRQZRPHQVXVHRI,39DQGDPRQJVDPHVH[FRXSOHV:HVRXJKWFDVHVWXG\H[DPSOHVIURPGLYHUVHUHJLRQVEXWGR

2
QRWFRYHUDOOSURJUDPPLQJZRUOGZLGH
6YNHUPaH[PVUVM[OPZ)YPLUN7HWLY
%HJLQQLQJZLWKDSUHVHQWDWLRQRIWKHFRQGLWLRQVQHFHVVDU\IRULPSOHPHQWLQJ30,39IROORZHGE\DUHYLHZRIWKHOLWHUDWXUH
RQPRGHOVDSSURDFKHVDQGSURJUDPFRPSRQHQWVFRPPRQWR30,39WKHSDSHUVXPPDUL]HVWKHHYLGHQFHHPHUJLQJIURP
SURJUDPVLQFOXGLQJHYDOXDWLRQWUHQGV$VHFWLRQGHGLFDWHGWRLPSOLFDWLRQVIRU*OREDO6RXWKVHWWLQJVIROORZVDQGWKHILQDO
VHFWLRQ SUHVHQWV FRQVLGHUDWLRQV IRU WKH ILHOG 7ZR DQQH[HV DUH SURYLGHG D VXPPDU\ RI HYDOXDWLRQ UHYLHZV DQG OLWHUDWXUH
RQSURJUDPDSSURDFKHVDQGHIIHFWLYHQHVV $QQH[$ DQGJXLGDQFHRQSULRULWL]LQJHWKLFDOVWDQGDUGVLQFOXGLQJWKHVDIHW\RI
ZRPHQDQGFKLOGUHQ{DSRLQW0HQ(QJDJHKLJKOLJKWVDVDQHFHVVDU\FRQGLWLRQIRU30,39{ZLWKDGGLWLRQDOUHFRPPHQGDWLRQV
IURPSURYLGHUVRIVHUYLFHVIRUZRPHQVXUYLYRUVRI,39 $QQH[% 

II. MenEngages Preconditions for the


0TWSLTLU[H[PVU6M7407=
*LYHQWKHVHFKDOOHQJHVDQGFRQVLGHUDWLRQV0HQ(QJDJHDIILUPVWKHIROORZLQJDVSUHFRQGLWLRQVIRUWKHLPSOHPHQWDWLRQRI30
,39LIWKHVHFRPSRQHQWVDUHQRWLQSODFHSURJUDPVVKRXOGQRWSURFHHG7KHVHSUHFRQGLWLRQVZHUHLGHQWLILHGEDVHGRQWKLV
SDSHUVOLWHUDWXUHUHYLHZDQGRQLQWHUYLHZVZLWKUHVHDUFKHUVDQGSUDFWLWLRQHUVZKRLPSOHPHQW30,39

7VZP[PVUHUKPTWSLTLU[7407=HZWHY[VMHUPU[LNYH[LKHWWYVHJOHUKKL]LSVWHJVTT\UP[`
JVVYKPUH[LKYLZWVUZL$QLQWHJUDWHGDSSURDFKPHDQVHQJDJLQJWKHKHDOWKVHFWRUDQGRWKHUYLWDOJRYHUQPHQWVHFWRUV
IRUFRPSUHKHQVLYHVHUYLFHVLQFOXGLQJSULPDU\SUHYHQWLRQVHUYLFHVDQGUHIHUUDOVIRUOHJDODQGSV\FKRVRFLDOVXSSRUWIRUPHQ
ZRPHQ DQG FKLOGUHQ ZKR KDYH H[SHULHQFHG RU DUH H[SHULHQFLQJ YLROHQFH LQ RUGHU WR DYRLG LVRODWLQJ 30,39  5HVHDUFK
VKRZV WKDW 30,39 DQG LQWHUYHQWLRQV VXFK DV PDQGDWRU\ DUUHVW DQG SURVHFXWLRQ SROLFLHV  UHGXFH UHWXUQ WR SULVRQ PRVW
HIIHFWLYHO\ZKHQWKH\DUHSDUWRIDFRRUGLQDWHGFRPPXQLW\DQGFULPLQDOMXVWLFHV\VWHPUHVSRQVHWKDWPRQLWRUVFRPSOLDQFHRI
PHQZKRKDYHXVHG,39ZLWKWHUPVRISUREDWLRQDQGZLWKDWWHQGDQFHLQ30,39 6KHSDUG:+2DQG6RQNH $Q
LQWHJUDWHGDSSURDFKDOVRHQWDLOVSURPRWLQJQRQYLROHQWHTXLWDEOHDQGSRVLWLYHIRUPVRIPDVFXOLQLW\DQGLQYROYLQJPHQDVSDUW
RIWKHVROXWLRQVXFKDVWKURXJKVXSSRUWIRUIDWKHUKRRGDQGFDUHJLYLQJ

 7YPVYP[PaL L[OPJHS Z[HUKHYKZ HUK [OL ZHML[` HUK ^LSSILPUN VM ^VTLU HUK JOPSKYLU )LUVW
30,39RYHUDOOVKRXOGEHJXLGHGE\WKHSULQFLSOH~'RQRKDUP~'RQRKDUPLVDQHWKLFDOVWDQGDUGXVHGWRHQVXUHWKDW
KXPDQLWDULDQ DQG GHYHORSPHQW LQWHUYHQWLRQV DUH VHQVLWLYH UHVSRQVLYH DQG FRJQL]DQW RI WKH ZD\V LQ ZKLFK WKH\ PD\
XQLQWHQWLRQDOO\FDXVHKDUP6HYHUDOLQWHUYLHZHHVUHPDUNHGWKDWWKH\KDYHDWWLPHVVHHQSURJUDPVGRPRUHKDUPWKDQJRRG
VXFKDVE\LQDSSURSULDWHO\SODFLQJPHQZKRKDYHXVHGYLROHQFHDQGVXUYLYRUVLQWKHVDPHURRP5XWJHUV:3)ZLWKSDUWQHU
RUJDQL]DWLRQVLQ6RXWK$IULFDDQG,QGRQHVLDKDYHGHYHORSHGDSSURDFKHVDQGWRROVWRSURPRWHVDIHW\WKURXJKRXW30,39


$SUDFWLWLRQHULQ6RXWK$IULFDJDYHWKHH[DPSOHRIXQLQWHQGHGFRQVHTXHQFHVIURPLQFDUFHUDWLRQVHSDUDWLRQRUGHSRUWDWLRQRIDPDQOHDYLQJKLVZLIHDQGFKLOGUHQ
ZLWKRXWYLWDOLQFRPH6XUYLYRUVRIWHQPXVWEHSURYLGHGZLWKVXSSRUWLQJHQHUDWLQJQHZIRUPVRILQFRPHDQGLQDGMXVWLQJWRFKDQJHVLQJHQGHUHGVWUXFWXUHVZLWKLQD
KRXVHKROG(YHQLID30,39FDQQRWEHVROHO\UHVSRQVLEOHIRUWKHVHEURDGHUIDLOXUHVSUDFWLWLRQHUVVKRXOGEHDZDUHRIVRFLDOMXVWLFHPRYHPHQWVDQGWKHIXOOUDQJHRI
SRWHQWLDOULVNVDQGEHQHILWVIRUWKHPHQLQYROYHGDQGWKHLUIDPLO\PHPEHUV

,Q5XWJHUV:3)D'XWFK1*2SURPRWLQJVH[XDODQGUHSURGXFWLYHKHDOWKDQGULJKWVZLWKDQRIILFHLQ,QGRQHVLDLGHQWLILHGFRXQVHOLQJRIPHQLQWKHFRQWH[W
RI,39DVWKHIRFXVRIDMRLQWFROODERUDWLRQZLWKWKUHHSDUWQHUV0RVDLF7UDLQLQJ6HUYLFH +HDOLQJ&HQWUHIRU:RPHQLQ6RXWK$IULFDDQGWKH5LIND$QQLVDDQG
&DKD\D3HUHPSXDQ:RPHQV&ULVLV&HQWUHVERWKLQ,QGRQHVLD7KHSDUWQHUVGHYHORSHGDQGSLORWHGD7RRONLWIRU0HQ0DOH&RXQVHOOLQJLQWKH&RQWH[WRI,QWLPDWH
3DUWQHU9LROHQFHDYDLODEOHRQOLQH VHH5XWJHUV:3)DDQGE ,QDGGLWLRQWRVDIHW\DQGULVNDVVHVVPHQWWRROVWKH7RRONLWLQFOXGHVWUDLQLQJDQGFRXQVHORUV

,QRUGHUWRSUHSDUHWKLVUHYLHZZHLQWHUYLHZHGRUJDQL]DWLRQVDQGLQGLYLGXDOVZKRZRXOGKDYHLQVLJKWVLQWRWKHFKDOOHQJHVDQGFRPSOH[LWLHVWKDWDULVHLQGLYHUVHVHWWLQJV
ZRUNERRNVDQGRWKHUWRROVWRDGDSWLPSOHPHQWPRQLWRUDQGHYDOXDWHLQWHUYHQWLRQV
6WDWLVWLFDOO\PRVWPHQZKRDUHNQRZQWRKDYHXVHG,39DUHKHWHURVH[XDOPHQVRSURJUDPPLQJDQGUHVHDUFKKDYHIRFXVHGRQWKHYLROHQFHFRPPLWWHGE\WKHVHPHQ
)XUWKHUUHVHDUFKDQGLQWHUYHQWLRQVDUHQHHGHGRQZRPHQVXVHRI,39DQGDPRQJVDPHVH[FRXSOHV:HVRXJKWFDVHVWXG\H[DPSOHVIURPGLYHUVHUHJLRQVEXWGR
QRWFRYHUDOOSURJUDPPLQJZRUOGZLGH
3
*VUK\J[YPZRHZZLZZTLU[ZHUKKL]LSVWHYPZRTHUHNLTLU[WSHUERWKRIZKLFKFDQKHOSSURIHVVLRQDOV
DQGZRPHQWREHWWHUXQGHUVWDQGDQGEHWWHUHTXLSWKHPWRPDQDJHWKHSRWHQWLDOIRUGDQJHUDQGWKHLUGHJUHHRIULVN &DPSEHOO
HWDO $VVHVVPHQWWRROVVKRXOGLQFOXGHDVDIHW\SODQDFOLHQWDVVHVVPHQWDQDJJUHVVLRQTXHVWLRQQDLUHDVXEVWDQFH
GHSHQGHQF\ DVVHVVPHQW DQG D EHKDYLRUPRQLWRULQJ ER[ $ GHGLFDWHG ULVN DVVHVVPHQW IUDPHZRUN VHHNV WR DVVHVV DQG
PRQLWRUWKHOLNHOLKRRGWKDW,39ZLOOUHSHDWRUHVFDODWH VHH5XWJHUV:3)D 3DUWLFXODUDWWHQWLRQVKRXOGEHSDLG
WRZDUGWKHEHJLQQLQJRIWUHDWPHQWZKLFKKDVEHHQLGHQWLILHGDVWKHPRVWGDQJHURXV EXWQRWWKHRQO\ WLPHIRUUHDVVDXOW
5LVNPDQDJHPHQWFDQDOVRLQFOXGHV\VWHPDWLFFRQWDFWZLWKVXUYLYRUVSHULRGLFUHHYDOXDWLRQVRIVDIHW\DQGDGGLWLRQDOVXSSRUW
VHUYLFHVDVQHFHVVDU\ *RQGROI 7KH6SRXVDO$VVDXOW5LVN$VVHVVPHQW 6$5$ LVDWRROGHVLJQHGWRSUHGLFWSK\VLFDO
LQMXU\WKDWFRXOGEHXVHGZLWKRWKHUVWRDVVHVVFRQWURODQGULVN .URSS +DUW 

+L]LSVWHTVKLSHUK[YHPUZ[HMMPU[OLWYPUJPWSLVMOVSKPUNTLUHJJV\U[HISLMVYOH]PUN\ZLK
07=MVYJVTWSL[PUNWYVNYHTZHUKMVYLUKPUN[OLPY\ZLVM]PVSLUJL^OPSLHSZVILSPL]PUNPU[OLPY
WV[LU[PHS[VJOHUNL3UDFWLWLRQHUVVKDUHGVHYHUDOH[DPSOHVRIZD\VWRKROGPHQDFFRXQWDEOHZLWKRXWGLPLQLVKLQJWKHLU
EHOLHILQWKHLUSRWHQWLDOIRUFKDQJH)LUVWD1LFDUDJXDQSUDFWLWLRQHUGHVFULEHGWKHQHHGWREDODQFHEHOLHYLQJLQDPDQVDELOLW\
WRFKDQJHZLWKDWWKHVDPHWLPHKROGLQJKLPDFFRXQWDEOHDQGQRWWUHDWLQJKLPZLWK|VLONJORYHV}3URJUDPVLQWZRFRXQWULHV
KHOGPHQDFFRXQWDEOHE\WDUJHWLQJVSHFLILFJURXSVRIPHQ,QDQH[DPSOHIURPRQHRIWKRVHFRXQWULHV+RQGXUDV&DVDGH
%LHQHVWDUUHDFKHGRXWWRFRRUGLQDWRUVRIRUJDQL]HGWD[LGULYHUVZKRIRUPHGDFRPPLWWHHDQGUHIHUUHGPHQWKH\NQHZZHUH
XVLQJ,39,QWXUQWKHFRRUGLQDWRUVFUHDWHGFRQWUDFWVZLWKGULYHUVZKRKDGWRSD\DILQHLIWKH\GLGQRWDWWHQGVHVVLRQV$OVRLQ
+RQGXUDVLIPHQGLGQRWUHJXODUO\DWWHQG30,39WKH\ZHUHUHTXLUHGE\WKHMXVWLFHV\VWHPWRSHUIRUPFRPPXQLW\VHUYLFH RU
RWKHUIRUPRI|FDVWLJRVRFLDO} VXFKDVVWUHHWVZHHSLQJ$WDSUDFWLFDOOHYHOWKLVUHFRPPHQGDWLRQPHDQVWKDWIDFLOLWDWRUVVKRXOG
VWDWHDQGXSKROGWKHREMHFWLYHRIKROGLQJPHQDFFRXQWDEOHZLWKRXWKXPLOLDWLQJRUDOLHQDWLQJWKHP *XHGHV 

 <ZL NLUKLY [YHUZMVYTH[P]L HWWYVHJOLZ [V [YHPU Z[HMM PU HKKYLZZPUN TLUZ JOPSKOVVK
L_WLYPLUJLZ HUK WLYZVUHS IHJRNYV\UK PZZ\LZ VM ZVJPL[HS [VSLYHUJL VM ]PVSLUJL HUK UVYTZ
HYV\UKTHZJ\SPUP[`PUJS\KPUNTLUZQ\Z[PJH[PVUZMVY]PVSLUJL0RGHOVPD\LQFOXGHDYDULHW\RIWKHRUHWLFDO
RULHQWDWLRQVDQGPHWKRGVEXWWKH\VKRXOGLQVRPHZD\XVHJHQGHUWUDQVIRUPDWLYHDSSURDFKHV *UHHQH /HYDFN 
WKDWSURPRWHJHQGHUHTXLWDEOHDWWLWXGHVDQGSUDFWLFHVDPRQJZRPHQDQGPHQ7KLVHQWDLOVLQWURGXFLQJDOWHUQDWLYHIRUPVRI
PDVFXOLQLW\DQGUHGHILQLQJPDQKRRGVXFKWKDWQHZSHUFHSWLRQVDERXWUHODWLRQVKLSVLQWLPDF\ZRPHQVKDUHGUHVSRQVLELOLW\
DQGKDSSLQHVVFDQUHVXOW,QDGGLWLRQWRGRPLQDQWQRWLRQVRIPDVFXOLQLW\YLROHQFHLVRIWHQUHODWHGWRWKHYHU\UHDOSV\FKRORJLFDO
KDUPFDXVHGE\PHQVH[SHULHQFHVRIYLROHQFHJURZLQJXS1XPHURXVKRXVHKROGVXUYH\VLQFOXGLQJ,0$*(6KDYHFRQILUPHG
WKDWDVWURQJFRQWULEXWLQJIDFWRUWRPHQVXVHRI,39LVKDYLQJZLWQHVVHGYLROHQFHDJDLQVWWKHLUPRWKHUVE\DPDQZKHQWKH\
ZHUHJURZLQJXS %DUNHUHWDODQG&RQWUHUDVHWDO 7KXV30,39PXVWFUHDWHVSDFHVLQZKLFKPHQFDQGLVFXVV
DQGDFNQRZOHGJHYLROHQFHWKH\KDYHH[SHULHQFHGRUZLWQHVVHGDVFKLOGUHQzQHYHUDVDQH[FXVHIRUWKHLUXVHRIYLROHQFHEXW
DVDPHDQVRIXQGHUVWDQGLQJZKHUHYLROHQFHFRPHVIURPDQGKRZWKH\FDQRYHUFRPHLW

,WLVDOVRLPSRUWDQWWRH[DPLQHKRZJHQGHULVWLHGWRVRFLHWDOWROHUDQFHRIYLROHQFHDQGQRUPVDURXQGPDVFXOLQLW\DQGKRZ
DPDQVODFNRUDWWDLQPHQWRIVRFLDOSRZHULQRWKHUVSKHUHV ZRUNFRPPXQLW\HWF LQIOXHQFHVKLVVRFLDOHQWLWOHPHQWDQG
XVH RUQRQXVH RIYLROHQFHZLWKDQLQWLPDWHSDUWQHU7KH*HQGHU9LROHQFH,QVWLWXWH 86 KDVIRXQGWKDWSDUWLFLSDQWVRIWHQ
FLWHWKHIXQFWLRQDQGEHQHILWVRIYLROHQFHDVUHDVRQVIRUWKHLUXVHRILW,QDJURXSH[HUFLVHIDFLOLWDWRUVILOOHGWZRFKDONERDUGV
ZKHQOLVWHQLQJWRPDOHSDUWLFLSDQWVOLVWUHDVRQVIRUWKHLUXVHRIYLROHQFH9LROHQFHDJDLQVWDIHPDOHSDUWQHULVXVHGWRHQIRUFH
HQWLWOHPHQWV DQG WR SXQLVK DQ\ VXJJHVWHG WUDQVJUHVVLRQ RQ KHU SDUW WKHVH QRWLRQV DUH JURXQGHG LQ PDOH GRPLQDWLRQ
HQWLWOHPHQWDQGFRQWUROZKLFKDUHLQWXUQJURXQGHGLQVRFLDOQRUPVRIPDVFXOLQLWLHV8QGHUVWDQGLQJWKHVHMXVWLILFDWLRQVFDQ
KHOSSUDFWLWLRQHUVDQGSDUWLFLSDQWVILQGDYHQXHVWRZDUGGHFRQVWUXFWLQJYLROHQFH 'HUU\SHUVRQDOFRPPXQLFDWLRQ 


5HJDUGLQJSDUWQHUUHSRUWVWKURXJKRXW30,39WZRFULWLFDOFDYHDWVPXVWEHNHSWLQPLQG  ZRPHQPD\QRWUHSRUWUHFXUUHQFHVRI,39DQG  YLROHQFHDJDLQVWZRPHQ
PD\WDNHSODFHZLWKQHZSDUWQHUV)XUWKHUJXLGDQFHIRUSURWHFWLQJWKHVDIHW\RIZRPHQDQGFKLOGUHQLQWKHFRQWH[WRI30,39DUHSURYLGHGLQ$QQH[%

4
2UV^[OL07=ZP[\H[PVUPU`V\YJV\U[Y`7KHIDFWRUVWKDWVXSSRUWDQGVXVWDLQ,39GLIIHUE\FRXQWU\DQGVKRXOGEH
ZHOOXQGHUVWRRGE\VWDIIZKRLPSOHPHQW30,3981:RPHQIRULQVWDQFHRIIHUVSRSXODWLRQEDVHGGDWDVKRZLQJGLIIHUHQFHV
LQSUHYDOHQFHRI,39LQFRXQWULHV 81:RPHQ 2WKHUOLWHUDWXUHDQGH[SHUWVVKRXOGDOVREHFRQVXOWHGWRGHYHORSD
NQRZOHGJHEDVH6LPLODUO\VWDIIVKRXOGUHIOHFWXSRQWKHLUWKHRUHWLFDOPRGHORIZKDWGULYHV,393UDFWLWLRQHUVLQ6RXWK$IULFD
DQG%UD]LOGLVFXVVHGWKHIDUUHDFKLQJLPSOLFDWLRQVRI30,39ZKLFKFDQQRWEHHIIHFWLYHZLWKRXWan understanding of
[OLIYVHKLYZ[Y\J[\YLZ[OH[OH]LL_WVZLKHUKTH`L_WVZLTLU[VM\Y[OLY]PVSLUJL)RUH[DPSOH
LQPDQ\VHWWLQJVLQFDUFHUDWLRQH[SRVHVPHQWRIXUWKHUYLROHQFH DVZHOODVWRWXEHUFXORVLVDQG+,9$,'6DQGRWKHUVH[XDOO\
WUDQVPLWWHGLQIHFWLRQV 5HFRJQL]LQJWKHFRQGLWLRQVRISULVRQV6RQNHDQ1*2LQ6RXWK$IULFDRSWHGWRGRSULVRQUHIRUP
ZRUNLQDGGLWLRQWRWKHLUZRUNLQYLROHQFHSUHYHQWLRQDQGWUHDWPHQW'HSHQGLQJRQWKHFRXQWU\SDUWLFLSDWLRQLQ30,39PD\
RIIHUUHGXFHGVHQWHQFHVDQGUHSUHVHQWDUHVWRUDWLYHUDWKHUWKDQSXQLWLYHDSSURDFKRILQFDUFHUDWLRQ


)RUH[DPSOHVHH*KDQRWDNLVHWDO6SLHJOHUDQG-RKQVWRQH5REHUWVRQDERXWSULVRQULVNVLQ6RXWK$IULFD

III. LITERATURE ON THE Common Threads

EFFECTIVENESS OF 30,39DUHFKDUDFWHUL]HGE\WKUHHFRPPRQIHDWXUHV  D


WKHRUHWLFDO RULHQWDWLRQ LH ZKDW WKH\ EHOLHYH HQGV PHQV

PROGRAMS FOR MEN XVHRI,39   WKHYROXQWDU\RUPDQGDWRU\QDWXUHRIPHQV


SDUWLFLSDWLRQ LH WKH H[WHQW RI WKH MXVWLFH V\VWHPV UROH

WHO HAVE USED LQFOXGLQJ ZLWK DWWULWLRQ  DQG   WKH GHJUHH RI FRRUGLQDWLRQ
ZLWK UHODWHG KHDOWK VHFWRU VHUYLFHV WKH FULPLQDO MXVWLFH

VIOLENCE AGAINST AN
V\VWHP DQG WKH FRPPXQLW\ UHIHUUHG WR DV D FRRUGLQDWHG
FRPPXQLW\UHVSRQVH &&5 7KHLQWHUYHQWLRQVGLVFXVVHGLQ

INTIMATE PARTNER
WKLVSDSHUWDNHSODFHDOPRVWH[FOXVLYHO\LQDJURXSVHWWLQJ
,QGLYLGXDOFRXQVHOLQJGRHVWDNHSODFHLQPDQ\FRXQWULHVDV
ZHOO LQFOXGLQJ LQ 1RUZD\ ,QGRQHVLD DQG )LML DV LGHQWLILHG
7407= LQ WKLV UHYLHZ  ZKHUH ZRUN ZLWK DEXVLYH PDOH SDUWQHUV
VWHPPHG IURP LQGLYLGXDO FRXQVHOLQJ ZLWK ZRPHQ VXUYLYRUV
RI,39

7YVNYHT4VKLSZHUK(WWYVHJOLZ
*VTIPUPUN+P]LYZL(WWYVHJOLZHUK
7KHILUVW30,39HPHUJHGLQWKHODWHVIURPWKHEDWWHUHG
ZRPHQV PRYHPHQW LQ WKH 8QLWHG 6WDWHV DQG E\  Theories
WKH ILUVW 30,39 ZDV HVWDEOLVKHG LQ (XURSH $OWHUQDWLYHV
WR 9LROHQFH LQ 1RUZD\  (DUO\ SURJUDPV DOVR HPHUJHG LQ ,Q VSLWH RI WKHVH FRPPRQDOLWLHV PRVW SURJUDPV XVH D
&DQDGD $XVWUDOLD LQ RWKHU (XURSHDQ FRXQWULHV DQG LQ D FRPELQDWLRQRIDSSURDFKHVDQGWKHRULHVZLWKDJUHDWGHDO
KDQGIXORI*OREDO6RXWKFRXQWULHV7KH:RUOG+HDOWK RIRYHUODSEHWZHHQFRJQLWLYHEHKDYLRUDOSV\FKRWKHUDSHXWLF
2UJDQL]DWLRQ UHSRUW 5RWKPDQ HW DO  LGHQWLILHG 30,39 DQG JHQGHUEDVHG RU IHPLQLVW DSSURDFKHV 'HVFULSWLRQV
LQQHDUO\HYHU\UHJLRQRIWKHZRUOGEXWWRGDWHWKHUHLVIDU RI HDFK RI WKHVH YDU\LQJ DSSURDFKHV { ZKLFK VKRXOG EH
OHVV HYDOXDWLRQ RI DQG UHVHDUFK RQ SUDFWLFHV LQ WKH *OREDO XQGHUVWRRGDVDOPRVWQHYHUDSSOLHGLQLVRODWLRQ{IROORZ
6RXWK DQG LQ FRQWH[WV ZLWK OLPLWHG UHVRXUFHV DQG ZHDN RU
XQVXSSRUWLYHMXVWLFHV\VWHPV )LUVW FRJQLWLYHEHKDYLRUDO DSSURDFKHV YLHZ YLROHQFH DV D
OHDUQHGEHKDYLRUWKDWFDQEHXQOHDUQHG0RVWPHQZKRKDYH

5
3V\FKRWKHUDSHXWLF PRGHOVKDYHEHHQGRPLQDQW LQ1RUZD\
DQG %UD]LO &HQWUDO WR WKH 1RUZHJLDQ DSSURDFK KDV EHHQ
H[DPLQLQJWKHLQWHUVHFWLRQRIVRFLHW\VWROHUDQFHRIYLROHQFH
LQFOXGLQJ JHQGHU QRUPV ZLWK PHQV SHUVRQDO KLVWRULHV RI
YLROHQFH2QHVWXG\RIPHQYROXQWDULO\DWWHQGLQJWKHUDS\LQ
1RUZD\IRXQGWKDWSHUFHQWKDGH[SHULHQFHGIDPLO\YLROHQFH
JURZLQJ XS RU DW VRPH SRLQW LQ WKHLU OLYHV DQG WKDW WKHVH
SDVWH[SHULHQFHVZHUHDVVRFLDWHGZLWKWKHLUGLIIHUHQWXVHVRI
YLROHQFHDVDGXOWV HJSK\VLFDODEXVHZLWKSV\FKRORJLFDOO\
FRQWUROOLQJ EHKDYLRU VH[XDO DEXVH VH[XDO YLROHQFH HWF 
$VNHODQGHWDO ,Q%UD]LOSV\FKRWKHUDSHXWLFPRGHOV
FDOOHG UHIOHFWLYH PHQV JURXSV |SURJUDPDV UHIOH[LYRV} LQ
3RUWXJXHVH  DUH UXQ E\ D WZRSHUVRQ WHDP RI D PDQ DQG
D ZRPDQ ZLWK DW OHDVW RQH SV\FKRORJLVW 7KH DSSURDFK
DPRQJRWKHUIHDWXUHVVWUHVVHVDKRUL]RQWDOJURXSG\QDPLF
LQZKLFKIDFLOLWDWRUVHQFRXUDJHPHQWRUHIOHFWDQGDUULYHDW
WKHLURZQDZDUHQHVVRIWKHKDUPWKH\KDYHFDXVHGUDWKHU
XVHG,39GRQRWVKRZHYLGHQFHRISV\FKRORJLFDORUSHUVRQDOLW\ WKDQ WKH IDFLOLWDWRUV LPSRVLQJ WKHLU YLHZV 3URJUDPV XVLQJ
GLVRUGHUV DQG PRVW 30,39 UHTXLUH RU HQFRXUDJH PHQ WR WKH(PHUJHPRGHOVLPLODUO\IRXQGWKDWDQRQFRQIURQWDWLRQDO
DFFHSW UHVSRQVLELOLW\ IRU SDVW XVH RI ,39 *XHGHV   6RFUDWLF DSSURDFK LV SDUWLFXODUO\ HIIHFWLYH IRU SDUWLFLSDQWV
7KHPDMRULW\RILQWHUYHQWLRQVDUHDOVRIUDPHGZLWKLQDJHQGHU IURPLPPLJUDQWJURXSVLQWKH86 6DXQGHUV 
DQDO\VLV RI WKH EHOLHI V\VWHP LQ ZKLFK PHQ IHHO HQWLWOHG WR
FRQWURO ZRPHQ LQ D UHODWLRQVKLS 5HVHDUFK VXJJHVWV WKDW ,Q WKH &DULEEHDQ *UHQDGD 7ULQLGDG DQG 7REDJR 6W
ZKHQWKLVEHOLHIV\VWHPLVQRWTXHVWLRQHGPHQZKRXVH,39 /XFLD -DPDLFD DQG %HOL]H  81 :RPHQ KDV VXSSRUWHG
PD\PHUHO\VZLWFKIURPXVLQJSK\VLFDOYLROHQFHIRUZKLFK WKHGHYHORSPHQWRIDSV\FKRHGXFDWLRQDOPRGHOVLPLODUWR
WKH\KDYHEHHQKHOGDFFRXQWDEOHWRXVLQJHPRWLRQDODEXVH SV\FKRWKHUDSHXWLF PRGHOV FDOOHG 3DUWQHUVKLS IRU 3HDFH
WRZDUGZRPHQDQGFKLOGUHQ 0XOOHQGHUDQG%XUWRQ  3I3  3I3 LV D FRXUWPDQGDWHG ZHHN SURJUDP DOVR
IDFLOLWDWHG E\ D PL[HG VH[ WHDP LQ ZKLFK PHQ FRQIURQW
2QHRIWKHPRVWSUHYDOHQWPRGHOVWKDWFRPELQHVFRJQLWLYH KDUPIXO QRWLRQV DERXW ZRPHQ DQG DERXW PDVFXOLQLW\
EHKDYLRUDO DSSURDFKHV ZLWK JHQGHU DQDO\VLV LV WKH 'XOXWK H[DPLQHXQHTXDOSRZHUUHODWLRQVKLSVWKDWIXHOYLROHQFHDQG
PRGHO GHYHORSHG LQ 0LQQHVRWD 86  LQ WKH HDUO\ V DFFHSWUHVSRQVLELOLW\IRUHQGLQJWKHLUYLROHQWEHKDYLRU
7KH'XOXWKPRGHOKDVEHHQUHSOLFDWHGLQDOO86VWDWHV
DQG DQ HVWLPDWHG  FRXQWULHV ,WV FXUULFXOXP LQFOXGHV WKH 3URJUDPV EDVHG RQ W\SRORJLHV RI PHQ ZKR KDYH XVHG
XVHRID|SRZHUDQGFRQWUROZKHHO}WRPDNHPHQDZDUHRI YLROHQFHDUHLQFUHDVLQJO\EHLQJLPSOHPHQWHGDFNQRZOHGJLQJ
WKHYLROHQWDQGQRQYLROHQWFRQWUROWDFWLFVWKH\PD\XVH7KH WKDWVRPHPHQVKRZPRUHHSLVRGLFXVHRIYLROHQFHZKLOH
(PHUJH PRGHO IURP %RVWRQ 86  FRPELQHV JHQHUDWLQJ RWKHUV XVH PRUH ORQJWHUP DQG VHYHUH IRUPV RI YLROHQFH
DZDUHQHVVRIDEXVLYHEHKDYLRUVZLWKFRJQLWLYHUHVWUXFWXULQJ +ROW]ZRUWK0XQURH  0HHKDQ  1DWLRQDO ,QVWLWXWH
0RVW FRPPRQO\ WKHPDWLF JURXS GLVFXVVLRQ VHVVLRQV DUH RI -XVWLFH   3URVSHFWLYH SDUWLFLSDQWV XQGHUJR D
KHOG RQ UHOHYDQW WKHPHV HJ RQ IDWKHUKRRG RQ ZRUN SV\FKRORJLFDO DVVHVVPHQW DQG DUH WKHQ FODVVLILHG E\ OHYHO
UHODWHGVWUHVVVRPHWLPHVRQUHOLJLRQVSLULWXDOLW\HWF  RI ULVN EDVHG RQ WKHLU VXEVWDQFH DEXVH DQG RWKHU IDFWRUV
WKDW KHOS LQGLFDWH DQ DSSURSULDWH LQWHUYHQWLRQ 7UDXPD


6HHH[DPSOHVIURP,QVWLWXWR1RRV $FRVWDHWDODQG7H[HLUD DQGIURPWKH1*2,VHU6RX]D1HYHVHWDODQGDWKWWSZZZLVHURUJEUVLWHLPSUHQVD
VHUKHPGHVWDTXH

7KH+23(0SURJUDPLQ0R]DPELTXHDOVRDGRSWHGVHYHUDOFRPSRQHQWVRIWKH%UD]LOLDQPRGHOQDPHO\WKHQRQFRQIURQWDWLRQDODSSURDFK3V\FKRWKHUDSHXWLFPRGHOV
ZHUHFLWHGDVPRUHFRPPRQO\XVHGLQ,WDO\8OWLPDWHO\FDXWLRQPXVWEHWDNHQQRWWRH[FXVHVNLUWRUGLPLQLVKWKHVHULRXVQHVVRIYLROHQFHEXWWRFRPPXQLFDWHLQZD\V
WKDWOHDGWRWKHGHVLUHGDWWLWXGHDQGEHKDYLRUFKDQJHVDQGWKDWDUHPHDQLQJIXODQGUHOHYDQWWRPHQ-XDQ&DUORV$UHQDOHDGHULQWKHILHOGLQGHYHORSLQJSURJUDPVIRU
PHQZKRKDYHXVHG,39DQGLQLWLDWLYHVDPRQJ/DWLQRPHQLQWKH86VWUHVVHGWKDWXQGHUVWDQGLQJKRZWRUHDFKDQGFUHDWHFKDQJHDPRQJPHQFRPHVIURPDVNLQJ
WKHPZKDWWKHLUYDOXHVDUHDQGZRUNLQJIURPWKHUH7KHVDPHSUREOHPVFDQEHDGGUHVVHGXVLQJSRVLWLYHQRQYLROHQWFRQFHSWVWKDWKDYHPHDQLQJWRWKHPHQLQYROYHG

6
EDVHG DSSURDFKHV IRFXV RQ WKH SDVW H[SHULHQFHV RI PHQ QHHGLGHQWLILHGZRUOGZLGHDQGSURYLGLQJLWZDVDFRPPRQ
ZKRKDYHXVHGYLROHQFHZKLOHIDPLO\V\VWHPVWKHRULHVDUH FKDOOHQJH
PRUHFRQWURYHUVLDOLQWKDWWKH\DUHVRPHWLPHVXQGHUVWRRGDV
SODFLQJEODPHRQWKHYLFWLP 6DXQGHUV 
*VVYKPUH[LK*VTT\UP[`9LZWVUZL
$ ILQDO DQG PRUH UHFHQWO\ HPHUJLQJ SURJUDP W\SH DQG
W\SLFDOO\ RQH WKDW LV LQWHJUDWHG ZLWK RWKHU PRGHOV  LQYROYHV 7KHHYLGHQFHUHYLHZHGDIILUPVWKDWWKHHIIHFWLYHQHVVRI30
SDUHQWLQJ LQWHUYHQWLRQV WKDW WDUJHW IDWKHUV ZKR KDYH XVHG ,39LVFRQWLQJHQWXSRQWKHSURJUDPVGHJUHHRILQWHJUDWLRQ
,395HFHQWUHVHDUFKE\6FRWW DE KDVDVVHVVHG DPRQJ FRPSOHPHQWDU\ VHUYLFHV DQG VXSSRUW V\VWHPV
ILQGLQJV EDVHG RQ SDUHQWLQJ SURJUDPV DQG 30,39 DQG 7KHHYLGHQFHVXJJHVWVWKDWWKHVHVHUYLFHVVKRXOGZRUNLQ
LGHQWLILHG IURP WKH OLWHUDWXUH NH\ UHFRPPHQGDWLRQV IRU WDQGHPWKURXJKDFRRUGLQDWHGFRPPXQLW\UHVSRQVH &&5 
SURJUDPFRQWHQWDQGRUJDQL]DWLRQHJLQFOXVLRQRIWUDLQHUV D FRQFHSW WKDW LV JDLQLQJ DWWHQWLRQ LQ HYDOXDWLRQ UHVHDUFK
ZLWK UHOHYDQW H[SHULHQFH XVH RI D PL[ RI EHKDYLRUDO DQG DQGLQ30,39LPSOHPHQWDWLRQ *RQGROI+DUW
DWWLWXGLQDODSSURDFKHVH[WHQVLRQRISURJUDPOHQJWKEH\RQG $GDPV 
WZR WR WKUHH PRQWKV FRPELQLQJ LQGLYLGXDO DQG JURXS
VHVVLRQVDQGPDQDJHPHQWRIULVN{SDUWLFXODUO\RYHUWLPH $OWKRXJKFRPSOH[WRPDQDJH&&5VRIIHUPXOWLSOHSDWKZD\V
IRU PHQ WR HQWHU 30,39 E\ EURDGHQLQJ UHIHUUDO VXSSRUW
DQG DFFRXQWDELOLW\ PHFKDQLVPV 7KH\ HQJDJH UHOHYDQW
VWDNHKROGHUVLQFOXGLQJVRFLDOVHUYLFHSURYLGHUVWRLPSURYH
Additional Program Details DFFHVV WR DSSURSULDWH VHUYLFHV IRU YLFWLPV DQG PHQ ZKR
KDYH H[SHULHQFHG YLROHQFH WKHPVHOYHV %\ FRXQWLQJ RQ D
30,39DOVRYDU\JUHDWO\LQWKHQXPEHUVRIPHQWKH\UHDFK ZLGHU QHWZRUN LI GHYHORSHG HIIHFWLYHO\ &&5 FDQ VXSSRUW
,Q1RUWK$PHULFDDQG(XURSHVRPHSURJUDPVDGPLWVHYHUDO PHFKDQLVPV WR PDQDJH ULVNV SURPRWH PHFKDQLVPV WR
KXQGUHGPHQHDFK\HDUZKHUHDVRWKHUVPD\EHUXQE\D VWUHQJWKHQDFFRXQWDELOLW\UHJXODWHFRXUWDQGSROLFHDFWLRQV
SULYDWHSV\FKRORJLVWIRULQVWDQFHZKRKROGVRQHVPDOOJURXS VXFKDVDUUHVWVSUREDWLRQVXSHUYLVLRQRUSURWHFWLRQRUGHUV
SHU \HDU 7KHUH DUH DQ HVWLPDWHG z SURJUDPV DQGEHXVHGWRGHYHORSSRWHQWLDOVROXWLRQVWRZDUGUHVROYLQJ
LQ WKH 86 DFFRXQWLQJ IRU WKLV UDQJH RI VHUYLFHV ,Q RWKHU PDQ\RIWKHFKDOOHQJHVLGHQWLILHGLQWKLVSDSHU
FRXQWULHVSURJUDPVL]HVDOVRYDU\ &DUWHU 

2WKHUSURJUDPFRPSRQHQWVWKDWYDU\DFURVV30,39LQFOXGH
Evidence of Effectiveness
GXUDWLRQUHFUXLWPHQWDQGDWWULWLRQPHFKDQLVPV YROXQWHHURU
3ULPDULO\ EHFDXVH RI WKH ULVNV LQYROYHG SURJUDPV LQ WKH
FRXUWUHIHUUDOVDQGPRQLWRULQJ WKHUROHRIMXVWLFHV\VWHPV
*OREDO1RUWKIRUPHQZKRDUHNQRZQWRKDYHXVHG,39KDYH
DQG FRQWDFW ZLWK WKH SDUWQHU 5HFUXLWPHQW PHFKDQLVPV LQ
EHHQ VXEMHFW WR PRUH ULJRURXV HYDOXDWLRQ VWDQGDUGV WKDQ
SDUWLFXODUYDU\IURPPDQGDWHGUHIHUUDOVLQ%UD]LOWKH8.
KDYHSURJUDPVWKDWLQYROYHSULPDU\SUHYHQWLRQRI,39DPRQJ
DQG86 ZLWKVRPHYROXQWDU\SDUWLFLSDQWVLQHDFKRIWKHVH
PHQDQGER\VZKRKDYHQRWQHFHVVDULO\XVHG,39&ULWHULD
FRXQWULHV WRYROXQWDU\UHIHUUDOVLQ1RUGLFFRXQWULHVWKDWUHO\
IRUPHQHQWHULQJ30,39YDU\DMXGJHPD\GHFLGHWRUHIHUD
PRUHRQVRFLDOVHUYLFHUHIHUUDOV,Q0R]DPELTXHDQGVRPH
PDQWRD30,39LQVWHDGRIWRMDLORUDZRPDQPD\GHFLGH
RWKHUFRXQWULHV30,39EHJDQDVYROXQWDU\SURJUDPVDQG
WRVWD\ZLWKKHUSDUWQHUGHSHQGLQJXSRQZKHWKHURUQRWKH
ZHUHODWHUOLQNHGWRWKHMXVWLFHV\VWHP(YDOXDWLRQGDWDIURP
SDUWLFLSDWHVLQDSURJUDP *XHGHV 
DVHVVLRQSURJUDPLQ%UD]LOIRXQGWKDWPHQZDQWHGPRUH
VHVVLRQVDQGWKDWWKHUHZDVDQHHGIRUIROORZXSWRPRQLWRU
0RUH WKDQ  VWXGLHV KDYH DWWHPSWHG WR PHDVXUH WKH
PHQVSURJUHVVEH\RQGFRPSOHWLRQRIWKHSURJUDP 7H[HLUD
HIIHFWLYHQHVV RI 30,39 *RQGROI   XVLQJ YDULRXV
  7KLV IROORZXS DIWHU SURJUDP FRPSOHWLRQ ZDV D
HYDOXDWLRQGHVLJQV  TXDVLH[SHULPHQWDO  H[SHULPHQWDO


6HYHUDOH[DPSOHVLOOXVWUDWHFXUUHQW&&5LQLWLDWLYHV7KHQHZ0HQ&DUHLQLWLDWLYHDSDUWQHUVKLSHPHUJLQJIURPWKH0HQ&DUHFDPSDLJQFRQQHFWV30,39WRDQGLV
HYDOXDWLQJ30,39DPRQJDEURDGHUVHWRISUHYHQWLRQDQGPDWHUQDOVH[XDODQGUHSURGXFWLYHKHDOWKVHUYLFHVDVZHOODVRWKHULQLWLDWLYHVWKDWOHYHUDJH30,39DQG
YLFHYHUVD6LPLODUO\3DUWQHUVKLSIRU3HDFHLQWKH&DULEEHDQHQJDJHVJURXSVRISV\FKRORJLVWVKXPDQULJKWVODZ\HUVDQGVRFLDOZRUNHUVDVZHOODVWKHMXVWLFHV\VWHP
LQFRXUWPDQGDWHGSURJUDPV

7
DUHGHEDWHVDVWRZKDWFRQVWLWXWHVDULJRURXVVWXG\GHVLJQ
LQFOXGLQJ UDQGRPL]HG FRQWURO WULDOV 5&7V    DOWHUQDWLYH
)RULQVWDQFHD&DQDGLDQUHYLHZRIWHQVWXGLHVFRQVLGHUHG
QRQH[SHULPHQWDOO\GHVLJQHGVWXGLHVDQG  PHWDDQDO\VHV
RQO\RQHWREHULJRURXVDQGTXHVWLRQHGWKHDSSOLFDELOLW\WR
ZKLFKDVVHVVPXOWLSOHLQWHUYHQWLRQV VHH$QQH[$ 
WKHJHQHUDOSXEOLFRIWKHILQGLQJVRIWKDWVWXG\ :DWKHQDQG
0DF0LOODQD 5HVXOWVRIPHWDDQDO\VHVLQSDUWLFXODU
$Q RYHUDOO ILQGLQJ RI WKLV UHYLHZ LV WKDW WKH HYLGHQFH IRU
PXVW EH DQDO\]HG FDUHIXOO\ DV WKH\ DUH RIWHQ LQWHUSUHWHG
HIIHFWLYHQHVVRI30,39LV|DPELJXRXV}DQG|LQFRQFOXVLYH}
ZLWKDOLPLWHGNQRZOHGJHRIPHWKRGRORJLFDODSSOLFDWLRQVRU
DV GHVFULEHG E\ UHVHDUFKHUV LQWHUYLHZHG DQG DV UHIOHFWHG
FDYHDWV *RQGROI 
LQ PXFK RI WKH OLWHUDWXUH UHYLHZHG 6HYHUDO RWKHU H[SHUWV
LQWHUYLHZHG DVVHUWHG WKDW WKHUH LV VRPH HYLGHQFH RI
5HVHDUFKHUV LQWHUYLHZHG IRU WKLV SDSHU DOVR ZDUQHG RI
HIIHFWLYHQHVVEXWWKDWWKHUHLVDQHHGIRU  EDVLFVWDQGDUGV
D SUREOHPDWLF WHQGHQF\ RQ WKH SDUW RI SUDFWLWLRQHUV WR
IRU SURJUDPV   VWDQGDUGL]HG LQGLFDWRUV RI HIIHFWLYHQHVV
PLVLQWHUSUHWUHVHDUFKLQVXFKDZD\DVWRHLWKHUGHWUDFWIURP
 FRVWEHQHILWDQDO\VHVDQG  ULJRURXVSLORWWHVWLQJDQG
RUVXSSRUW30,39ZLWKRXWNQRZOHGJHRIKRZWRREMHFWLYHO\
PRUHLPSDFWHYDOXDWLRQVLQ*OREDO6RXWKDQGUHVRXUFHSRRU
LQWHUSUHW DQG DSSO\ HYDOXDWLRQ ILQGLQJV )XUWKHUPRUH
VHWWLQJV
ILQGLQJV RIWHQ FDQQRW EH PHDQLQJIXOO\ FRPSDUHG EHFDXVH
RIGLIIHUHQFHVLQWKHZD\,39LVPHDVXUHGDQGUHSRUWHG,Q
6RPH HYLGHQFH RI 30,39 VXJJHVWV PLQLPDO RU QR HIIHFW
)HGHU  :LOVRQ  %DEFRFN HW DO   2WKHU DGGLWLRQ VRPH PHWDDQDO\VHV VKRZ OLWWOH WR QR WUHDWPHQW
HIIHFW ZKHQ YLFWLP UHSRUWV ZHUH XVHG RYHU RIILFLDO UHSRUWV
HYLGHQFHVKRZVVXEVWDQWLDOUHqGXFWLRQVLQYLROHQWEHKDYLRU
ZKLFK XQGHUHVWLPDWH UHYLFWLPL]DWLRQ  RU KDG D OLPLWHG
E\ PHQ ZKR FRPSOHWH WKHVH SURJUDPV *RQGROI 
UDQJH RI VWXG\ SDUWLFLSDQWV EHFDXVH FRQVHQW IURP MXGJHV
   )RXU TXDVLH[SHULPHQWDO VWXGLHV LQ 1RUWK $PHULFD
DQG VHYHUDO PHPEHUV RI WKH FULPLQDO MXVWLFH V\VWHP ZDV
UHYLHZHGE\$OGRUDQGR  VKRZHGPHDQUHFLGLYLVPUDWHV
D SUHUHTXLVLWH WR SDUWLFLSDWLRQ )HGHU  :LOVRQ 
RI  SHUFHQW DV UHSRUWHG E\ ZRPHQ ZKRVH SDUWQHUV KDG
%DEFRFNHWDO ,WLVLPSRUWDQWWRQRWHWKDWGURSRXWV
FRPSOHWHGSURJUDPVFRPSDUHGZLWKSHUFHQWDVUHSRUWHG
PHQZKRDEDQGRQ30,39EHIRUHFRPSOHWLRQ DQGZRPHQ
E\ZRPHQZKRVHSDUWQHUVGLGQRWFRPSOHWHSURJUDPV7KH
ZKRGRQRWUHSRUWYLROHQFHPD\EHXQDFFRXQWHGIRULQVRPH
ILJXUHVIRUUHFLGLYLVPUDWHVWHQGWREHPXFKORZHUZKHQRQO\
HYDOXDWLRQV 7KH FKDOOHQJHV DUH VLPLODU WR WKRVH IDFHG E\
SROLFH UHSRUWV DUH UHOLHG XSRQ VXJJHVWLQJ WKDW LW LV PRUH
UHVHDUFKHUVLQRWKHUDUHDVRIVH[XDODQGUHSURGXFWLYHKHDOWK
DFFXUDWH WR XVH SDUWQHU UHSRUWV DV ZHOO (YDOXDWLRQ PXVW
VXFKDVVH[XDOLW\HGXFDWLRQ+,9SUHYHQWLRQSURJUDPVDQG
DFFRXQWIRUZRPHQZKRDUHQRWUHSRUWLQJ LQFOXGLQJZRPHQ
PDQ\RWKHUDUHDVLQZKLFKEHKDYLRULVFRPSOH[GHWHUPLQHG
ZLWKQHZSDUWQHUVZKRPD\RUPD\QRWEHYLROHQW DVZHOODV
E\PXOWLSOHIDFWRUVDQGVWURQJO\WLHGWRFXOWXUDOQRUPVDQG
IRUPHQZKRGURSRXWRI30,39
H[SHFWDWLRQV
$FFRUGLQJWRRWKHUUHYLHZV30,39KDYHSURYHGWRKDYHDW
7KLV UHYLHZ DOVR \LHOGHG LQVLJKWV IRU WKH UHFRPPHQGHG
OHDVWDVPDOOHIIHFWRQWKHUHFXUUHQFHRIYLROHQFHVXJJHVWLQJ
PHWKRGRORJ\ IRU HYDOXDWLRQ RI 30,39 )LUVW WKHUH LV D
WKDW VXFK SURJUDPV DUH DW OHDVW PRGHUDWHO\ VXFFHVVIXO DW
JHQHUDOFRQVHQVXVWKDWHYDOXDWLRQVWXGLHVVKRXOGXVHEURDG
SUHYHQWLQJIXUWKHUYLROHQFHE\DEXVHUV %DEFRFNHWDO
GHILQLWLRQVRI,39{DQGLQSDUWLFXODUUHO\RQYLFWLPUHSRUWV
*RQGROI 
UDWKHUWKDQRIILFLDOUHSRUWV{DQGIROORZXSZLWKDWOHDVW
SHUFHQWRISDUWLFLSDQWV6WXGLHVDUHDOVRVWDUWLQJWRPHDVXUH
SURYLGHUVFRPSHWHQF\DQG|WUHDWPHQWLQWHJULW\} LHIDFWRUV
Methodological Challenges and Insights UHODWHGWRSURJUDPGRVDJHDQGTXDOLW\ DQGWRDGGUHVVRWKHU
SUREOHPVLGHQWLILHGLQPDQ\HYDOXDWLRQV 6DXQGHUV 
0HWKRGRORJLFDO FKDOOHQJHV KDYH SRVHG SUREOHPV IRU 6HFRQGWKLVUHYLHZUHFRPPHQGVWKDWZKDWDUHFRQVLGHUHG
LQWHUSUHWLQJ WKH UHVXOWV RI LPSDFW HYDOXDWLRQV RI 30,39 LQGLFDWRUV RI HIILFDF\ EH H[SDQGHG EH\RQG UHFLGLYLVP
:RUOG 5HSRUW RQ 9LROHQFH DQG +HDOWK   DQG WKHUH JLYHQ WKDW HYHQ LI SK\VLFDO YLROHQFH VWRSV KDUPIXO IRUPV


$UHYLHZRILQWHUYHQWLRQVRQYLROHQFHDJDLQVWZRPHQZLWKZRPHQDQGPHQLQ1RUWK$PHULFDQVHWWLQJVIRXQGWKDWHYLGHQFHLVDOVROLPLWHGLQWHUPVRIHIIHFWLYHQHVVRI
LQWHUYHQWLRQVIRUZRPHQ7KHDXWKRUVGLGQRWFRQVLGHUHYLGHQFHRIVXLWDEOHTXDOLW\WRHYDOXDWHWKHHIIHFWLYHQHVVRIVKHOWHUSURJUDPVLQWHUPVRISUHYHQWLQJUHDEXVHEXW
WKH\GLGILQGHYLGHQFHWKDWVKHOWHUVWD\IRURQHQLJKWZLWKDGYRFDF\FRXQVHOLQJUHVXOWHGLQGHFUHDVHGUHLQFLGHQFHDQGLPSURYHGTXDOLW\RIOLIH :DWKHQDQG0DF0LOODQ
D $QDO\VHVRIVHUYLFHVIRUZRPHQPXVWORRNEH\RQGVKHOWHUV
8
RI GRPLQDWLRQ DQG FRQWURO FDQ SHUVLVW RU HPHUJH ZLWKLQ D VSHDNLQJ RI JHQGHUEDVHG YLROHQFH LQWHUYHQWLRQV PRUH
UHODWLRQVKLS :HVWPDUODQGHWDO&DUWHU  EURDGO\|WKHGHDUWKRIKLJKTXDOLW\HYDOXDWLRQVPHDQVWKDW
SROLF\ UHFRPPHQGDWLRQV LQ WKH VKRUW UXQ PXVW EH EDVHG
)XUWKHUPRUH TXDOLWDWLYH GDWD VXFK DV WKDW JDWKHUHG IURP RQ HPHUJLQJ HYLGHQFH LQ GHYHORSLQJ HFRQRPLHV SURFHVV
IRFXV JURXSV DQG LQWHUYLHZV FRXOG EH XVHG PRUH RIWHQ WR HYDOXDWLRQV TXDOLWDWLYH HYDOXDWLRQV DQG LPSHUIHFWO\
FRPSOHPHQW TXDQWLWDWLYH GDWD *RQGROI LQWHUYLHZ   GHVLJQHGLPSDFWHYDOXDWLRQV DQGRQPRUHULJRURXVLPSDFW
)RUH[DPSOHTXDOLWDWLYHPHWKRGVFDQHQKDQFHHYDOXDWLRQV HYDOXDWLRQVIURPGHYHORSHGFRXQWULHV}
RI HIILFDF\ FRQGXFWHG ZLWK TXDQWLWDWLYH PHWKRGV RQO\ E\
LOOXPLQDWLQJWKHFRPSOH[PHFKDQLVPVWKDWOHDGWRVXFFHVVRU 30,39DUHEHLQJLPSOHPHQWHGLQODUJHQXPEHUVLQWKH*OREDO
IDLOXUHDQGUHYHDOLQJZKDWHOHPHQWVZRUNDQGZKHQZK\ 6RXWKEXWEHFDXVHWKH\DUHQHZHUDQGEHFDXVHRIOLPLWHG
DQGIRUZKRPWKH\ZRUN4XDQWLWDWLYHGDWDDORQHFDQPHUHO\ UHVRXUFHV WKHUH KDV EHHQ D ODFN RI ULJRURXV HYDOXDWLRQV
FRQILUP RU FRQWUDGLFW D SURJUDPV LPSDFW )RU H[DPSOH 3URPLVLQJ HYDOXDWLRQV KDYH QHYHUWKHOHVV EHHQ LGHQWLILHG
,QVWLWXWR 1RRV LQ %UD]LO XVHG IRFXV JURXS GLVFXVVLRQV LQ LQ +RQJ .RQJ DQG ,QGLD 5RWKPDQ HW DO   DQG DUH
DGGLWLRQWRTXDQWLWDWLYHGDWDFROOHFWLRQWRJHQHUDWHDQDO\VLV XQGHUZD\LQ9LHWQDP &6$*$ LQWKH'RPLQLFDQ5HSXEOLF
DQGUHFRPPHQGDWLRQVIRULPSURYLQJWKHLUSURJUDPV 7H[HLUD &HQWURGH,QWHUYHQFLQ&RQGXFWXDOSDUD+RPEUHV DQGLQ
  %UD]LO ,6(5DQG,QVWLWXWR1RRV ,Q%UD]LOHYDOXDWLRQVZHUH
FRQGXFWHGRID30,39LQ5LRGH-DQHLUR 6RX]D1HYHVHWDO
&RQIRXQGLQJ WKH PHWKRGRORJLFDO FKDOOHQJHV RI HYDOXDWLQJ 7H[HLUD DQGDQRWKHUHYDOXDWLRQKDVDVVHVVHG
30,39DUHWKHLUYDU\LQJPLVVLRQVWKHLUJRDOVWKHLUVFRSH SURJUDPVIRUVH[XDOYLROHQFHRIIHQGHUV 7RQHOOL 
DQG W\SH RI PRGHO LH ZKHWKHU DV D PHGLFDO RU SXEOLF
KHDOWKPRGHOXVLQJFOLQLFDORXWFRPHVDVDFULPLQDOMXVWLFH 7KH PHWKRGV XVHG WR SURGXFH WKLV VHFWLRQ LQFOXGHG D
LQWHUYHQWLRQ OHDGLQJWRUHGXFHGUHFLGLYLVP RUDVSDUWRID V\VWHPDWLFDQDO\VLVRIWKHOLWHUDWXUHDQGLQWHUYLHZVFRQGXFWHG
ZLGHU V\VWHPV RU &&5 DSSURDFK $FFRUGLQJ WR $OGRUDQGR ZLWKSUDFWLWLRQHUVDQGUHVHDUFKHUV DGHVFULSWLRQRIWKHIXOO
  WKHUH LV D |PLVJXLGHG SURFOLYLW\ E\ VRPH ,39 PHWKRGVFDQDOVREHIRXQGLQWKHLQWURGXFWLRQVHFWLRQ 7KH
UHVHDUFKHUVWRDSSURDFKLQWHUYHQWLRQVZLWKPHQZKREDWWHU JRDORIWKLVVHFWLRQLVWRHOLFLWFRQVLGHUDWLRQVIRU*OREDO6RXWK
DVGLVFUHWHPHGLFDOSURFHGXUHVUDWKHUWKDQDVVRFLDOSROLFLHV VHWWLQJV6LPLODUILQGLQJVPD\DSSO\WRDQGEHVKDUHGZLWK
DQG SUDFWLFHV LQWHQGHG WR UHVSRQG WR LQGLYLGXDO GRPHVWLF ORZUHVRXUFHVHWWLQJVLQWKH*OREDO1RUWK WKHWZRVKRXOGQRW
DQGVRFLDOQHHGV}$QRWKHUFULWLFLVPLVWKDWERWKH[SHULPHQWDO EHVHHQDVPXWXDOO\H[FOXVLYH KRZHYHUWKHLPSHWXVIRUD
DQGTXDVLH[SHULPHQWDOGHVLJQVDUHRIWHQXQUHDOLVWLFDQGIDLO GHGLFDWHG VHFWLRQ RQ *OREDO 6RXWK LPSOLFDWLRQV LGHQWLILHG
WR DFFRXQW IRU WKH ODUJHU FRQWH[W LQ ZKLFK VXFK SURJUDPV E\ SUDFWLWLRQHUV DQG UHVHDUFKHUV FRQVXOWHG IRU WKLV SDSHU
H[LVW$FFRUGLQJWR*RQGROIUHJDUGLQJD30,39DVDVRFLDO ZDVDJDS{DSDXFLW\RINQRZOHGJHDQGXQGHUVWDQGLQJRI
LQWHUYHQWLRQHQWDLOVFDUU\LQJRXWDQHYDOXDWLRQWKDWORRNVDW ZKDWLVKDSSHQLQJDQGZKDWZRUNVRULVSURPLVLQJIRUWKHVH
WKH|SURJUDPHIIHFW}DVHPEHGGHGLQWKHV\VWHPDVDZKROH VHWWLQJV 7KH VHFWLRQ EHJLQV ZLWK SHUVSHFWLYHV IURP VWDII
UDWKHU WKDQ DV D PHGLFDO PRGHO RU DQ LVRODWHG WUHDWPHQW ZKR LPSOHPHQW VHUYLFHV IRFXVHG RQ ZRPHQ FKLOGUHQ DQG
*RQGROILQWHUYLHZ  \RXWK VXUYLYRUV UHFRJQL]LQJ WKDW WKHVH SHUVSHFWLYHV DUH
FULWLFDOWRDQXQGHUVWDQGLQJRIWKHIXOOSLFWXUHRI30,397KH
UHPDLQGHU RI WKH VHFWLRQ FRYHUV LPSOLFDWLRQV IRU UHVRXUFH

IV. CONSIDERATIONS FOR SRRUVHWWLQJVWKHUROHRIMXVWLFHV\VWHPVDQGDOWHUQDWLYHDQG


FRPSOHPHQWDU\ SUDFWLFHV DV ZHOO DV UHVLVWDQFH DQG RWKHU

PM-IPV IN THE GLOBAL


FKDOOHQJHVWKDWFRPHZLWKLPSOHPHQWLQJ30,39

SOUTH  7LYZWLJ[P]LZ MYVT >VTLUZ HUK


Childrens Service Providers
,WLVFOHDUIURPDUHYLHZRIH[LVWLQJHYDOXDWLRQVWKDWFXUUHQW 3UDFWLWLRQHUV ZHUH LQWHUYLHZHG LQ VHYHUDO FRXQWULHV ZKRVH
GDWD DUH RYHUZKHOPLQJO\ IURP WKH *OREDO 1RUWK PRVW RUJDQL]DWLRQV IRFXVHG RQ SURYLGLQJ VHUYLFHV IRU ZRPHQ
SXEOLVKHG HYDOXDWLRQ OLWHUDWXUH LV IURP WKH 8. RU 1RUWK FKLOGUHQDQG\RXWKVXUYLYRUVDQGZKRLQUHFHQW\HDUVKDYH
$PHULFD $FFRUGLQJWR0RUULVRQ(OOVEHUJDQG%RWW  

9
DGGHGLQWHUYHQWLRQVIRUPHQZKRKDYHXVHGYLROHQFH7KH ,QWKLVFDVHZRUNLQJZLWKPHQFDPHDVSDUWRIDGHOLEHUDWH
SUDFWLWLRQHUV LQ WKHVH ZRPHQV RUJDQL]DWLRQV GHVFULEHG UHVHDUFKHG HIIRUW YLD URXQGWDEOH GLVFXVVLRQV DQG IRFXV
VLPLODUUDWLRQDOHVIRUEHJLQQLQJWRZRUNZLWKPHQZKRKDYH JURXSV  WR ILQG ZD\V WR HOLPLQDWH GRPHVWLF YLROHQFH IURP
XVHG,39 GLIIHUHQWDQJOHVDQGWRLQYROYHERWKZRPHQDQGPHQ%RWK
+RQGXUDVDQG9LHWQDPIUDPHGWKHLUDSSURDFKDURXQGIDPLO\
)LUVW WKH\ UHFRJQL]HG WKDW ,39 FRXOG QRW EH HOLPLQDWHG E\ WKHUDS\
ZRUNLQJ ZLWK ZRPHQ DORQH $V D +RQGXUDQ SUDFWLWLRQHU
VDLG|,IZHRQO\ZRUNZLWKZRPHQDQGHPSRZHUWKHPEXW ,QWHUYLHZHHV UHSRUWHG DQHFGRWDOO\ WKH UHDVRQV WKDW WKH\
GRQWZRUNZLWKPHQWKH\OOJREDFNWRWKHVDPHOLYHV:H ZHUH JLYHQ E\ RWKHU RUJDQL]DWLRQV WKDW FRQWLQXHG WR IRFXV
ZRXOGQWEHGRLQJFRPSOHWHZRUNZLWKWKHVKHOWHURWKHUZLVH RQ ZRPHQ LH WKHLU UHDVRQV IRU QRW EHJLQQLQJ ZRUN ZLWK
WKHUHZRXOGQWEHVKHOWHUIRUWKHP},Q9LHWQDPVHUYLFHVWR PHQ 7KHVHUHDVRQVPRVWO\IRFXVHGRQUHVRXUFHSULRULWLHV
DFKLHYHJHQGHUHTXDOLW\DQGHOLPLQDWHYLROHQFHRQDEURDGHU {WKHLGHDWKDWVHUYLFHVIRUZRPHQQHHGHGWREHWKHSULRULW\
VFDOHZHUHDOVRGLVFXVVHG DQG WKH FRQFHUQ WKDW ZRUN ZLWK PHQ ZRXOG GLYHUW VFDUFH
 UHVRXUFHV$QRWKHUUHDVRQUHSRUWHGZDVWKHUHDOL]DWLRQWKDW
6HFRQGVRPHZRPHQVRUJDQL]DWLRQVVRXJKWWRPDWFKFOLHQW QHZDOOLDQFHVZRXOGKDYHWREHIRUPHGLQRUGHUWRVXSSRUW
GHPDQGV QDPHO\ WR FRQVLGHU ZKDW ZRPHQ DQG FKLOGUHQ DQGJHQHUDWHIXQGLQJIRU30,39
QHHG DQG UHTXHVW EH\RQG VKHOWHU HJ LQFRPHJHQHUDWLQJ
VXSSRUW VHUYLFHV IRU ZRPHQ DQG WUDLQHG PHGLFDO VWDII WR 7KH LQWHUYLHZHHV IURP RUJDQL]DWLRQV WKDW KDG VWDUWHG WR
VFUHHQ IRU GRPHVWLF YLROHQFH  6RPH SURYLGHUV OHDUQHG ZRUNZLWKPHQIHOWWKDWLQLWLDWLQJZRUNZLWKPHQZDVEULQJLQJ
WKDWPDQ\ZRPHQGLGQRWZDQWWROHDYHWKHLUSDUWQHUVEXW SRVLWLYH RXWFRPHV IRU ERWK ZRPHQ DQG PHQ 3UDFWLWLRQHUV
ZLVKHGWRVWD\VDIHDQGILQGZD\VIRUWKHLUSDUWQHUVWREHOHVV IHOWEHWWHUHTXLSSHGWRFRXQVHOIHPDOHFOLHQWVKDYLQJJDLQHG
YLROHQW $FFRUGLQJ WR 0LOOV HW DO   UHJDUGLQJ *OREDO SHUVSHFWLYH RQ WKH FRPSOH[LW\ RI UHODWLRQVKLSV %HJLQQLQJ
1RUWKFRQWH[WVWKHUHLVQRFRQVLVWHQWHYLGHQFHRIKRZPDQ\ ZRUN ZLWK PHQ DOVR OHG WKHP WR UHYLVLW VDIHW\ DQG HWKLFDO
ZRPHQ VXUYLYRUV OHDYH WKHLU SDUWQHUV EXW VRPH VRXUFHV LVVXHV DQG WKXV SURYLGHG DQ RSSRUWXQLW\ WR VWUHQJWKHQ
HVWLPDWH DV PDQ\ DV KDOI UHPDLQ LQ WKHLU UHODWLRQVKLSV ,I VDIHW\ PHDVXUHV DV ZLWK 0RVDLFV DQG 5XWJHUV :3)V
WKH\GROHDYHLWLVXVXDOO\DSURFHVVWKDWXQIROGVRYHUWLPH FUHDWLRQRIVDIHW\WRROV5HFRPPHQGDWLRQVIURPLQWHUYLHZV
(YHQLIVXUYLYRUVKDYHOHIWWKHUHODWLRQVKLSWKH\RIWHQUHPDLQ ZLWKSURYLGHUVRIVHUYLFHVIRUZRPHQDUHLQFOXGHGLQ$QQH[
FRQQHFWHG WR WKHLU IRUPHU SDUWQHUV WKURXJK FKLOGUHQ RU %
WKURXJKRWKHUIDPLO\DQGFRPPXQLW\FRPPLWPHQWV

,QLWLDO FKDOOHQJHV ZLWK VWDUWLQJ 30,39 LQFOXGHG WUDLQLQJ


VWDII DQG JHQHUDWLQJ D |PLQGVKLIW} ZLWKLQ WKH RUJDQL]DWLRQ
0TWSLTLU[PUN7407=PU9LZV\YJL
,Q 6RXWK $IULFD FRXQVHORUV { ZKR RIWHQ KDG H[SHULHQFHG Poor Settings
YLROHQFHWKHPVHOYHV{KDGWROHDUQQHZVNLOOVDQGFKDOOHQJH
LQWHUQDODWWLWXGHVDQGSHUFHSWLRQVLQFOXGLQJWKHGLFKRWRPRXV 'RPHVWLF YLROHQFH SHUYDGHV DOO VRFLRHFRQRPLF FODVVHV
FRQFHSWLRQRIZRPHQDVYLFWLPVDQGPHQDVSHUSHWUDWRUV EXW DPRQJ ORZ LQFRPH JURXSV VHUYLFHV DUH SDUWLFXODUO\


3UDFWLWLRQHUVZHUHLQWHUYLHZHGIURPWKHIROORZLQJRUJDQL]DWLRQVLQ+RQGXUDV&DVDGHO%LHQ(VWDU |KRXVHRIZHOOEHLQJ} 5LIND$QQLVD:RPHQV&ULVLV&HQWHULQ
,QGRQHVLD0RVDLF7UDLQLQJ6HUYLFH +HDOLQJ&HQWHUIRU:RPHQLQ6RXWK$IULFDDQGWKH&HQWHUIRU$SSOLHG6FLHQFHVLQ*HQGHU &6$*$ LQ9LHWQDP,WVKRXOGEH
QRWHGWKDWLQDGGLWLRQWRWKHVHRUJDQL]DWLRQVZHUHDFKHGRXWWRRYHUWHQRUJDQL]DWLRQVWKDWGRQRWSURYLGHVHUYLFHVWRPHQ LHWKHVROHIRFXVRIWKHLUVHUYLFHVLVRQ
ZRPHQDQGFKLOGUHQVXUYLYRUV EXWGLGQRWUHFHLYHDUHVSRQVH7KHLQWHUYLHZVUHYHDOHGVRPHFKDOOHQJHVLQEHJLQQLQJZRUNZLWKPHQEXWDOVRUHIOHFWHGRUJDQL]DWLRQV
ZLOOLQJQHVVWREHJLQLQWHUYHQWLRQVZLWKPHQLQWKHILUVWSODFHDQGXQGHUJRRUJDQL]DWLRQDOVKLIWV3HUVSHFWLYHVIURPRUJDQL]DWLRQVWKDWGRYDOXDEOHZRUNH[FOXVLYHO\ZLWK
ZRPHQDQGFKLOGUHQZRXOGH[SDQGRXUXQGHUVWDQGLQJRIWKHFKDOOHQJHVDQGSRWHQWLDORIZRUNLQJZLWKPHQDQGVKRXOGEHJDWKHUHGWRLQIRUPIXWXUHSURJUDPPLQJDQG
SROLF\

$VWKHGLUHFWRURI&6$*$LQ9LHWQDPGHVFULEHGLIWKHJRDOLVWRKDYHDJHQGHUHTXDOVRFLHW\HTXDOLW\DPRQJIDPLO\PHPEHUVPXVWFRPHILUVW,IDPDQFDQQRWKDYH
DJRRGUHODWLRQVKLSZKHQKHJRHVKRPHKHFDQQRWKDYHJRRGUHODWLRQVKLSVZLWKSROLWLFLDQVRURWKHUFROOHDJXHVZKRDUHZRPHQ&6$*$DOVRGHVFULEHGWKHFKDOOHQJH
RILQWURGXFLQJWKHFRQFHSWRIGRPHVWLFYLROHQFHZKLFKLVUHJDUGHGDVDSULYDWHLVVXH%HFDXVH&6$*$ZDVWKHILUVWRUJDQL]DWLRQWRSURYLGHVHUYLFHVRIWKLVNLQGLQ
9LHWQDPODXQFKLQJWKHSURJUDPPHDQWWKDWVWDIIUHYLVLWHGWKHELJJHUSLFWXUHRIJHQGHUHTXDOLW\LQWKHFRXQWU\

7KHH[SHULHQFHLQ6RXWK$IULFD 0RVDLF DQG,QGRQHVLD 5LIND$QQLVD LQFROODERUDWLRQZLWK5XWJHUV:3)VKRZHGWKDWWKHPDMRULW\RIIHPDOHFOLHQWVGLGQRWZDQW
WRHQGWKHLUUHODWLRQVKLSVEXWUDWKHUWKHYLROHQFHLQWKHUHODWLRQVKLSV6LPLODUH[SHULHQFHVZHUHVKDUHGIURP%UD]LO7KHH[SHULHQFHVRIWKHVHZRPHQVRUJDQL]DWLRQV
VKRZHGWKDWZRPHQZHUHQRWDEOHWRUDGLFDOO\WUDQVIRUPWKHLUVLWXDWLRQDVORQJDVWKHLUSDUWQHUVGLGQRWFKDQJH7KHUHIRUHWKHLQYROYHPHQWRIPHQZDVFRQVLGHUHGWR
EHDQHVVHQWLDOVWUDWHJ\IRUVWRSSLQJWKHYLROHQFHDQGVDYLQJWKHUHODWLRQVKLS7KHOHDGHUVKLSRISURJUDPVDQGRUJDQL]DWLRQVZHUHFUXFLDOLQFRPPLWWLQJWRDFKLHYHWKLV
H[SDQVLRQLQSURJUDPPLQJ
10
WKHEHVWFRXUWPDQGDWHGWUHDWPHQWSURJUDPVDUHOLNHO\WREH
ODFNLQJDQGWKHLPSDFWVRI,39RQVRPHDVSHFWVRIOLIHDUH
LQHIIHFWLYHLQWKHDEVHQFHRIDVWURQJOHJDOUHVSRQVHLQLQLWLDO
GLVSURSRUWLRQDWHO\ IHOW (IIHFWLYH DQG LQFOXVLYH SURJUDPV
VHQWHQFLQJDQGLQVDQFWLRQLQJRIIHQGHUVZKRIDLOWRFRPSO\
PXVWFRQVLGHUKRZHFRQRPLFVWUHVVFRQWULEXWHVWR,39DQG
ZLWKWUHDWPHQW} %DEFRFNHWDO +RZHYHUKDYLQJ
ZKLFK PHDVXUHV VKRXOG EH SXW LQ SODFH WR DFFRXQW IRU WKH
ZDWFKHG30,39GHYHORSRYHUWHQ\HDUVLQ3LWWVEXUJK86
UHDOLWLHVRIORZLQFRPHPDOHSDUWLFLSDQWV7KHUHLVDVWURQJ
UHVHDUFKHU (GZDUG *RQGROI QRWHG WKDW SURJUDPV FDQ DQG
DVVRFLDWLRQEHWZHHQPHQVUHSRUWVRIHFRQRPLFVWUHVV{LQ
W\SLFDOO\GRVWDUWZLWKRXWDGHTXDWHWLHVWRWKHMXVWLFHVHFWRU
SDUWLFXODUWKHSUHVVXUHWKDWPHQIHHOWRSOD\WKHH[SHFWHG
*RQGROILQWHUYLHZ 
SURYLGHUUROH{DQGOLIHWLPHXVHRI,397KLVVXJJHVWVWKH
QHHGIRUJUHDWHUHIIRUWVWRGHYHORSLQWHUYHQWLRQVWKDWDFFRXQW
,QWHUYLHZHHV UHSRUWHG WZR NLQGV RI EDUULHUV IURP MXGJHV
IRU SRYHUW\ ZRUN DQG HFRQRPLF PDUJLQDOL]DWLRQ DQG WKHLU
 DODFNRINQRZOHGJHRUVHQVLWLYLW\VXUURXQGLQJGRPHVWLF
UHODWLRQVKLSVWRPHQVSUDFWLFHVRIDQGZRPHQVYXOQHUDELOLW\
YLROHQFH DQG   UHVLVWDQFH WR VHQGLQJ PHQ WR 30,39
WR,39 %DUNHUHWDO.ULVKQDQHWDO 
)RU LQVWDQFH ZLWK FRXUWV DQG D ODZ GHGLFDWHG WR GRPHVWLF
YLROHQFHSUHYHQWLRQDQG30,39LQRSHUDWLRQIRURYHUILYH
3RYHUW\ DQG UHVRXUFH VFDUFLW\ ERWK IRU SURJUDPV DQG
\HDUV%UD]LOLDQUHVHDUFKHUVDQGSUDFWLWLRQHUVVWLOOGHVFULEHG
SDUWLFLSDQWV SUHVHQW FKDOOHQJHV WR WKH DELOLW\ RI *OREDO
GLVFULPLQDWLRQE\MXGJHVRUGLVPLVVLYHDWWLWXGHVWRZDUGWKH
6RXWK RUJDQL]DWLRQV LQ SDUWLFXODU  WR LPSOHPHQW 30,39
3UDFWLWLRQHUV GHVFULEHG WKH SUHFDULRXV FRQGLWLRQV LQ ZKLFK UHODWLRQDODVSHFWRIJHQGHUVXFKDVDMXGJHZKRUHPDUNHG
|,VQWWKH>GRPHVWLFYLROHQFH@ODZDERXWZRPHQ"6RZK\DUH
WKH\KHOGJURXSV(YHQZLWKJRYHUQPHQWIXQGLQJDSURJUDP
\RXWDONLQJDERXWPHQ"}7KHIDFLOLWDWRURID30,39JURXS
SUDFWLWLRQHU LQ %UD]LO UHSRUWHG WKDW LQ WKH ILUVW \HDU WKH
LQ %UD]LO DGGHG WKDW VRPH PHQ KDG H[SUHVVHG LQWHUHVW LQ
JURXS PRYHG WR IRXU GLIIHUHQW PHHWLQJ VSDFHV LQFOXGLQJ D
KDYLQJMXGJHVYLVLWWKHJURXSDVDSDUWLFLSDQWLQWKLVJURXS
JDUDJH ZLWK QR GRRU WKDW H[SRVHG PHQ WR WKH VWUHHW DQG
REVHUYHG |>7KH MXGJHV DQG RIILFLDOV@ GRQW FRPH KHUH WR
DQXQFRPIRUWDEO\KRWURRPDWWKHWRSRIDEXLOGLQJZLWKQR
JHWWRNQRZWKHSURJUDPWRKHDURXUVLWXDWLRQ}9LVLWVIURP
HOHYDWRU 3URJUDPV KDYH UHVSRQGHG WR WKH QHHGV RI ORZ
MXGJHVDQGOHJDOVWDIIFDQDOVRIDFLOLWDWHWUDQVSDUHQF\ $UHDQ
LQFRPH PHQ E\ RIIHULQJ WUDQVSRUWDWLRQ YRXFKHUV DQG E\
LQWHUYLHZ 
SURYLGLQJLQIRUPDWLRQRQVHUYLFHVRILQWHUHVWWRORZLQFRPH
PHQLQDGGLWLRQWRRIIHULQJDOWHUQDWLYHZD\VRIFRSLQJZLWK
$WWKHVDPHWLPHOHJLVODWLRQRQGRPHVWLFYLROHQFHRU*%9
HFRQRPLF SUHVVXUHV 0HQ ZKR DUH OHVV HGXFDWHG DQGRU
KDVVXSSRUWHGDWOHDVWRQSDSHUWKHH[LVWHQFHRI30,39
XQHPSOR\HGDOVRWHQGWRGURSRXWDWDKLJKHUUDWH 'H0DULV
,Q 9LHWQDP RQFH *%9 DQG GRPHVWLF YLROHQFH ODZV ZHUH
 5RRQH\  +DQVRQ  6DXQGHUV  3DUNHU 
SDVVHG ORFDO DXWKRULWLHV ZHUH OHVV DEOH WR GHQ\ WKH QHHG
LQ 6DXQGHUV   UHLQIRUFLQJ WKH QHHG IRU VHUYLFHV WKDW
IRU30,39,Q,QGRQHVLDZKLOHWKH'RPHVWLF9LROHQFH$FW
IDFLOLWDWHORZLQFRPHPHQVDELOLW\WRUHDFKVHVVLRQV
HQDFWHGLQPDNHVSURYLVLRQVIRUWKHUHIHUUDORIPHQZKR
XVH,39WRVHUYLFHVXQWLOUHFHQWO\KDUGO\DQ\VXFKVHUYLFHV

;OL9VSLVM1\Z[PJL:`Z[LTZ ZHUHDYDLODEOH/RFDO1*2VXVLQJWKH5XWJHUV:3)V0HQV
&RXQVHOLQJ 7RRONLW ODXQFKHG LQ  DUH EHJLQQLQJ WR ILOO
WKLVJDSEXWDGYRFDF\DQGDZDUHQHVVUDLVLQJLQWKHMXVWLFH
7KHUROHRIWKHMXVWLFHV\VWHPLQ30,39UDQJHVIURPVXFK V\VWHPDUHVWLOOQHHGHG
SURJUDPVEHLQJDQLQWHJUDWHGSDUWRIFRXUWUHIHUUDOVWRKDYLQJ
ZHDNRUQRWLHV,Q%UD]LOWKH86DQG8.IRUH[DPSOH 6HYHUDO FDVHV DOVR LQGLFDWH WKDW FRXQWULHV GR QRW QHHG WR
QHDUO\DOOPHQSDUWLFLSDWHWKURXJKPDQGDWHGFRXUWUHIHUUDOV ZDLW IRU SROLFLHV WKDW SURYLGH FRPSUHKHQVLYH VSHFLILFDWLRQV
ZKHUHDVLQ0R]DPELTXHDQG1RUZD\PHQDSSHDUYROXQWDULO\ DERXW 30,39 %UD]LOV GRPHVWLF YLROHQFH ODZ 0DULD GD
LQ 0R]DPELTXH QR FRXUW V\VWHP PHFKDQLVPV KDYH EHHQ 3HQKD PHQWLRQVWKDW30,39VKRXOGEHLQSODFHEXWGRHV
HVWDEOLVKHGDQGLQ1RUZD\DQGRWKHU1RUGLFFRXQWULHVPRVW QRWVSHFLI\KRZ6HYHUDOPDMRUVKLIWVKDYHKDGWRWDNHSODFH
UHIHUUDOVFRPHIURPVRFLDOVHUYLFHVRUPHQVRZQLQLWLDWLYH  LQ WKH %UD]LOLDQ OHJDO V\VWHP VWDUWLQJ ZLWK WKH SUDFWLFH RI
FULPLQDOL]LQJ PHQ IRU FRPPLWWLQJ GRPHVWLF YLROHQFH LQ WKH
2QH LPSRUWDQW UROH { EXW RQH WKDW ZDV RIWHQ LGHQWLILHG DV ILUVWSODFHIROORZHGE\WKHGHYHORSPHQWRIDUHIHUUDOV\VWHP
ZHDN RU LQFRQVLVWHQW { ZDV WKDW RI WKH MXVWLFH V\VWHPV $V D SULPDULO\ SXQLWLYH ODZ 0DULD GD 3HQKD RIIHUV OLPLWHG
IROORZXSDQGHQIRUFHPHQWRIPHQVFRPSOHWLRQRISURJUDPV URRP IRU UHVWRUDWLYH RU HGXFDWLRQDO LQWHUYHQWLRQV IRU PHQ
$V%DEFRFNHWDOQRWH VSHDNLQJRID86FRQWH[W |HYHQ

11
6RDUHV 6HYHUDO1*2VLQ%UD]LODUHDGYRFDWLQJIRU KDYH EHHQ LPSOHPHQWHG LQ $ERULJLQDO FRPPXQLWLHV RI
D VSHFLILF SXEOLF SROLF\ WKDW ZRXOG GHGLFDWH UHVRXUFHV WR $XVWUDOLD DORQJ ZLWK LQGLYLGXDO DQG JURXS FRXQVHOLQJ
30,39 DQG VHUYH WR PRYH EH\RQG D |SURMHFWE\SURMHFW} QLJKW SDWUROV FRPPXQLW\ HGXFDWLRQ WUDGLWLRQDO KHDOLQJ
SKHQRPHQRQ VRPHWKLQJ RI ZKLFK SUDFWLWLRQHUV ZRUOGZLGH FLUFOHV DQG ZRPHQV VKHOWHUV &ULSSV  DQG
KDYHFRPSODLQHG 0HPPRWWHWDOLQ$UQH\DQG:HVWE\ 
f (S[LYUH[P]L[OLYHWPLZ!$YDULHW\RIRWKHUWKHUDSLHV
 KDYHDOVRHPHUJHGDQJHUPDQDJHPHQW DQDGDSWDWLRQ
(S[LYUH[P]LHUK*VTWSLTLU[HY` RIFRJQLWLYHEHKDYLRUDOWUHDWPHQW GLDOHFWLFDOFRXQVHOLQJ
QHXURSV\FKRORJLFDO WUHDWPHQW DQG FRXSOHV FRXQVHOLQJ
Practices *RQGROI   0HGLDWLRQ DQG DQJHU PDQDJHPHQW
ZHUHQRWZHOOUHFRPPHQGHGLQWKHHYDOXDWLRQOLWHUDWXUH
$FNQRZOHGJLQJWKHFKDOOHQJHVIDFHGE\30,39WKLVSDSHU
QRU ZDV FRXSOHV FRXQVHOLQJ XQOHVV VDIHJXDUGV DUH LQ
DGYRFDWHVWKHWHVWLQJDQGHYDOXDWLRQRIRWKHUVWUDWHJLHVWR
SODFHWKDWHQVXUHZRPHQIHHOVDIHDQGKDYHQRWVXIIHUHG
KROG LQGLYLGXDO PHQ DFFRXQWDEOH DVLGH IURP FRQYLFWLRQ
VHYHUH YLROHQFH 6DXQGHUV  6WLWK HW DO  
VHQWHQFLQJ DQG PDQGDWHG SURJUDPV  VXFK DV FUHDWLQJ
6RPH 1*2V VXFK DV 0RVDLF DQG 1,5&2 LQ 6RXWK
SUHYHQWLRQVSDFHVZKHUHPHQZKRIHHOWKH\PD\XVH,39FDQ
$IULFD RIIHU FRXSOHV FRXQVHOLQJ DPRQJ RWKHU RSWLRQV
WDONDERXWYLROHQFHEHIRUHWKH\XVHLW7KHUHKDVEHHQOLPLWHG
,Q%UD]LOWKH1*2,6(5VDLGWKDWERWKZRPHQYLFWLPV
HYDOXDWLRQ RI DOWHUQDWLYH DQG FRPSOHPHQWDU\ DSSURDFKHV
DQGPHQSDUWLFLSDQWVH[SUHVVHGLQWHUHVWLQPL[HGPDOH
DQGWKH\VKRXOGEHFRQVLGHUHGZLWKFDXWLRQDQGDVZD\VWR
IHPDOHGLVFXVVLRQJURXSV DOWKRXJKSDUWQHUVZRXOGQRW
FRPSOHPHQWUDWKHUWKDQUHSODFH30,39
EHLQWKHVDPHURRP DQGWKH1RRV,QVWLWXWHLQ%UD]LO
KHOGSDUDOOHOJURXSVIRUZRPHQDQGPHQ
f  /V[SPULZ [OH[ VMMLY Z\WWVY[ [V TLU ^OV
f  7LLY Z\WWVY[ TVKLSZ! &UHDWLQJ SRVLWLYH QRQ
WLYJLP]L [OL` HYL NVPUN [V \ZL ]PVSLUJL YLROHQWPDOHSHHUVXSSRUWVXFKDVE\WUDLQLQJPHQDV
and want to talk to someone. $ KRWOLQH LQ DOOLHVWRVXSSRUWPHQZKRKDYHUHFHQWO\FRPSOHWHG30
6ZHGHQDQGDQRWKHULPSOHPHQWHGE\DQ1*2 :(0  ,39RUPDWFKLQJPHQDQGZRPHQVXUYLYRUVZLWKVSRQVRUV
LQ&RVWD5LFDZHUHGHVLJQHGWRRIIHUVXFKVXSSRUW2QH PD\KDYHDSRWHQWLDOO\SRVLWLYHUROHLQUHGXFLQJGRPHVWLF
GUDZEDFNLVWKDWWKHVHUHTXLUHWKDWPHQEHVXIILFLHQWO\ YLROHQFH +DUW   ,Q 0R]DPELTXH +23(0 KDV
VHOIDZDUHWKDWWKH\PD\XVHYLROHQFHDVZHOODVZLOOLQJ VWUHVVHG JDWKHULQJ PHQ DURXQG DFWLYLWLHV WKH\ DOUHDG\
WRVHHNKHOS SDUWLFLSDWHLQDQGPHHWDURXQGVXFKDVJRLQJWREDUVRQ
f  9LZ[VYH[P]LJVSSLJ[P]LQ\Z[PJLTVKLSZ!7KH )ULGD\VZKLFKDUHSRSXODUO\GHVFULEHGDV|PHQVGD\}
*DFDFDFRXUWVLQ5ZDQGDDQGFRPPXQLW\RUUHVWRUDWLYH (VWDEOLVKLQJVXSSRUWQHWZRUNVIRUPHQLVDOVRUHOHYDQW
MXVWLFH PRGHOV LQ FRXQWULHV VXFK DV 1HZ =HDODQG JLYHQUHVHDUFKWKDWKDVQRWHGPHQDWWLPHVIHHOLVRODWHG
$XVWUDOLD(DVW7LPRUDQGRWKHUVVKRXOGEHFRQVLGHUHG IURP SHHUV ZKHQ WKH\ TXHVWLRQ RU UHMHFW PDVFXOLQLWLHV
DVZD\VWRKROGPHQDFFRXQWDEOHIRUYLROHQFH&DQDGD WKDWPD\EHGRPLQDQWDFURVVWKRVHJURXSV6LPLODUO\WKH
KDVVHYHUDOUHVWRUDWLYHMXVWLFHPRGHOVZRUWKH[SORULQJ JURXS$EDWDQJDPXFRLQ%XUXQGLFUHDWHVSHHUQHWZRUNV
VXFK DV &LUFOH 6HQWHQFLQJ LQ ZKLFK MXGJHV DQG RIPHQZKRKROGRWKHUPHQDFFRXQWDEOHIRUWKHLUXVHRI
UHVSHFWHG HOGHUV RYHUVHH WKH FDVH LQ WKH FRPPXQLW\ YLROHQFHDJDLQVWIHPDOHSDUWQHUV7KLVLQFOXGHVLQYLWLQJD
LQZKLFKLWRFFXUV 6)8&HQWUHIRU5HVWRUDWLYH-XVWLFH JURXSRIPHQ ZKRDUHNQRZQWRKDYHXVHGYLROHQFH WR
 6LPLODUPHGLDWLRQDQGUHVWRUDWLYHMXVWLFHSUDFWLFHV JURXSGLVFXVVLRQVRIIHULQJWKHPDFKDQFHWRWDONDERXW


&KLOHLVDQH[DPSOHZKHUHWKHMXGLFLDODQGH[HFXWLYHEUDQFKHVWRJHWKHUVXSSRUWHGLQLWLDWLYHV7KH%DFKHOOHWDGPLQLVWUDWLRQRSHQHGILYHFHQWHUVIRUPHQZKRKDYH
XVHGYLROHQFH XQGHUWKH,QWHUIDPLO\9LROHQFH/DZ IROORZHGE\ILYHFHQWHUVXQGHUWKHFXUUHQWSUHVLGHQWEDFNHGE\WKH0LQLVWU\RI-XVWLFH7KHUHDUHDQDGGLWLRQDOVL[
FHQWHUVWKURXJKRXW&KLOHWKDWIROORZWKH'XOXWKPRGHOFRRUGLQDWHGE\WKHQDWLRQDOZRPHQVVHUYLFH7HDPVZRUNLQJZLWKPHQZKRKDYHXVHGYLROHQFHZHUHQRQHWKHOHVV
GHVFULEHGDVZRUNLQJLQLVRODWLRQZLWKDWHQGHQF\QRWWRHYDOXDWHRUGRFXPHQWH[SHULHQFHV $JXD\RDQG6DGOHU 

)RUPRUHRQWKHGHEDWHVDQGFRQWURYHUV\VXUURXQGLQJVRPHDOWHUQDWLYHLQWHUYHQWLRQVVHHKWWSZZZHQGYDZQRZRUJHQDUWLFOHVUHVWRUDWLYHMXVWLFHSURJUDPPHV
UHPDLQFRQWURYHUVLDOKWPO

12
WKHLUVWUHVVHVDQGIUXVWUDWLRQVDQGLGHQWLI\LQJZD\V{ DSSURDFKHV RYHUORRN ORFDO IDPLO\ DQG FRPPXQLW\
ZLWKVXSSRUWDQGFULWLTXHVIURPWKHJURXS{WRRYHUFRPH G\QDPLFVDPRQJRWKHUIDFWRUV DOVRVHH0F&DOPDQHW
YLROHQFH DO 
f  Mens attrition LV RQH RI WKH JUHDWHVW REVWDFOHV
 Programming Challenges WRHIIHFWLYH30,39DFFRUGLQJWRWKHOLWHUDWXUHRQ30
,39 VHH:RUOG5HSRUWRQ9LROHQFHDQG+HDOWK 
f 7KHLQWHUYLHZVFDUULHGRXWIRUWKLVUHYLHZVXJJHVWHGWKH (YLGHQFHIURPWKH86VKRZVWKDWFRXUWPDQGDWHVGR
FKDOOHQJHRIUHTPUNWYVNYHTZIRU|PHQZKRKDYH QRW QHFHVVDULO\ LQFUHDVH DWWULWLRQ 'DO\ DQG 3HORZVN\
XVHG,39}SDUWLFXODUO\LQVHWWLQJVZKHUHWKHUHLVKLJK,39   EXW DWWHQGDQFHFKHFNLQJ E\ SDUWQHUV RU VRFLDO
SUHYDOHQFHDQGZKHUHVXFKYLROHQFHLVQRUPDOL]HGDQG VHUYLFHVRUOHJDOSHUVRQQHOPD\
WKXVVXUURXQGHGE\VLOHQFH7DERRVDQGVHQVLWLYLW\H[LVW f ResistanceWR30,39{ZKHWKHUIURPJRYHUQPHQWV
LQFOXGLQJDUHOXFWDQFHWRDGYHUWLVH|IHPLQLVW}DSSURDFKHV DQG MXGLFLDO V\VWHPV ZRPHQV ULJKWV DGYRFDWHV PHQ
HYHQLISURJUDPVVHHJHQGHUUROHVDVIRVWHULQJYLROHQFH ZKR KDYH XVHG YLROHQFH VRFLHW\ DV D ZKROH RU VRPH
5RWKPDQ HW DO    6LPLODUO\ PDQ\ SURJUDPV FRPELQDWLRQ { LV XQVXUSULVLQJO\ KLJKHVW LQ VRFLHWLHV
LQFOXGLQJ5XWJHUV:3)XVHWHUPVOLNH|PDOHFOLHQWV}RU WKDW KDYH WKH JUHDWHVW WROHUDQFH RI GRPHVWLF YLROHQFH
|PHQ ZKR KDYH XVHG YLROHQFH} LQVWHDG RI SHUSHWUDWRU DQG ZKHUH JRYHUQPHQWV KDYH EHHQ VORZ WR GHYHORS
DEXVHUWREHWWHUUHIOHFWDQGHQFRXUDJHPHQVSRWHQWLDO OHJLVODWLRQRUVLJQLQWHUQDWLRQDOWUHDWLHV,QSDUWVRI$VLD
IRUFKDQJH 3DFLILF 6RXWKHDVW $VLD DQG WKH 0LGGOH (DVW DPRQJ
f :WLJPJP[`HJJVYKPUN[VJ\S[\YLYHJLHUK RWKHU UHJLRQV  30,39 DUH FRQVLGHUHG VR WDERR E\
VRFLHW\ DQG JRYHUQPHQW WKDW WKH\ DUH QRW GLVFXVVHG
L[OUPJP[` 2SHQO\ FULWLFL]LQJ FXOWXUDOO\HQGRUVHG
VXFKVHWWLQJVKDYHQRWDGHTXDWHO\DFNQRZOHGJHGPHQV
GRPLQDQWQRWLRQVRIPDVFXOLQLW\DQGQRUPVRIZRPHQV
XVH RI YLROHQFH DJDLQVW ZRPHQ DV D SUREOHP $PRQJ
DFFHSWDQFHRIYLROHQFHZDVDFRQVLVWHQWFKDOOHQJHDQG
PDOHSDUWLFLSDQWVWDNLQJUHVSRQVLELOLW\IRUYLROHQFHDQG
SULRULW\ VKDUHG E\ SUDFWLWLRQHUV DQG UHVHDUFKHUV DOLNH
UHFRJQL]LQJ QRQSK\VLFDO IRUPV RI YLROHQFH ZHUH DOVR
6HYHUDOUHVSRQGHQWVVWUHVVHGWKDWFXOWXUHPXVWQRWEH
QRWHGDVIRUPVRIPHQVRZQUHVLVWDQFH
XVHGWRMXVWLI\YLROHQFH HJZLIHEHDWLQJDVDQDQFLHQW
f  5HODWHG WR UHVLVWDQFH GLIILFXOW\ REWDLQLQJ DGHTXDWH
FXVWRP  QRU WR SODFH WKH UHVSRQVLELOLW\ RQ ZRPHQ
VHH81)3$IRUDQH[DPSOHRIDPHQVJURXSLQ funding for PM-IPV ZDV WKH PRVW ZLGHVSUHDG
%DQJODGHVK $WWKHVDPHWLPH30,39PXVWEHUHOHYDQW FKDOOHQJHIRUUHVHDUFKHUVDQGSUDFWLWLRQHUVDOLNH(YHQ
LQ WKHLU GHVLJQ DQG LPSOHPHQWDWLRQ ZKHWKHU LQ *OREDO LQ FRXQWULHV LQ ZKLFK JRYHUQPHQW IXQGLQJ KRZHYHU
1RUWK RU 6RXWK VHWWLQJV DFFRUGLQJ WR GLYHUVH FXOWXUHV OLPLWHG LV DOORFDWHG 30,39 DUH YXOQHUDEOH WR EHLQJ
UDFHV DQG HWKQLFLWLHV )RU H[DPSOH D UHFHQW UHSRUW GLVFRQWLQXHG ZKHQ UHVRXUFHV DUH VFDUFH RU LI WKHUH LV
E\ $UQH\ DQG :HVWE\   GLVFXVVHV WKH SUREOHPV D SHUFHSWLRQ WKDW VHUYLFHV IRU YLFWLPV ZLOO EH UHGXFHG
ZLWK DSSO\LQJ :HVWHUQ ,39 SURJUDP DSSURDFKHV ZLWK 5HVSRQGHQWV VXJJHVWHG VHYHUDO IXQGLQJ VWUDWHJLHV
$ERULJLQDO PHQ LQ $XVWUDOLD ILQGLQJ WKDW WKH :HVWHUQ LQFOXGLQJLGHQWLI\LQJDUHDVWKDWDUHUHFHLYLQJVXSSRUWDQG
OLQNLQJ30,39WRWKRVHDJHQGDVVXFKDVWKHIXQGLQJ
|VWUHDP}LQWKH86IRUIDWKHUKRRGSURJUDPV


5DFLDOHWKQLFVSHFLILFPRGHOVKDYHEHHQDGDSWHGIRU3DNLVWDQL,QGLDQDQG$UDELFVSHDNLQJLPPLJUDQWPHQLQWKH8.DQGIRU/DWLQRDQG6RXWK(DVW$VLDQPHQLQ
WKH86 $GDPV LQDGGLWLRQWRJURXSVWDLORUHGWRZDUG1DWLYH$PHULFDQDQG$IULFDQ$PHULFDQPHQLQWKH86 'RQQHOO\6PLWK :LOOLDPV(0(5*(
6PLWKLQ6DXQGHUV 3UDFWLWLRQHUVJHQHUDOO\DJUHHGWKDWWKHUROHRIDVNLOOHGIDFLOLWDWRUEHFDPHIXQGDPHQWDOLQPDQDJLQJGLIIHUHQFHVZKHQKROGLQJ
VHSDUDWHJURXSVIRUPHPEHUVRIHDFKSRSXODWLRQLVQRWSRVVLEOH IRUH[DPSOHDSUDFWLWLRQHUH[SODLQHGWKHGLOHPPDZKHQRYHUODQJXDJHVDUHVSRNHQLQ/RQGRQ 
7KHUHDUHWKUHHW\SHVRIFXOWXUDOO\VSHFLILFSURJUDPVDFFRUGLQJWR:LOOLDPVDQG%HFNHU  ZKRGHYHORSHGLQWHUYHQWLRQVIRU$IULFDQ$PHULFDQPHQLQWKH86
FRORUEOLQGSURJUDPVWKDWFODLP~GLIIHUHQFHVGRQWPDNHDGLIIHUHQFHFXOWXUDOO\FHQWHUHGSURJUDPVWKDWIRFXVRQWKHKLVWRULFDODQGFRQWHPSRUDU\H[SHULHQFHVRIFHUWDLQ
FXOWXUDOJURXSVDQGWKRVHWKDWSODFHDSDUWLFXODUFXOWXUHDWWKHFRUHRIWUHDWPHQWDQGXVHFXOWXUDOO\VLJQLILFDQWULWXDOV$PDQDOVRPXVWLGHQWLI\ZLWKWKHSDUWLFXODUFXOWXUH
IURPZKLFKWKHLQWHUYHQWLRQHPHUJHVIRUVXFKDQLQWHUYHQWLRQWREHPHDQLQJIXOWRKLP3URJUDPVPXVWDOVRFRQVLGHUPLQRULW\PDOHSDUWLFLSDQWVKLVWRULHVRIGLVFULPLQDWLRQ
HJGLVFULPLQDWLRQGXHWRUDFHHWKQLFLW\RULPPLJUDQWVWDWXV DQGPHQVUHVHQWPHQWWRZDUGWKHFULPLQDOMXVWLFHV\VWHPDQGRUVRFLHW\DWODUJHIRUWKHGLVFULPLQDWLRQ
WKH\KDYHVXIIHUHG 6DXQGHUV 

2WKHUVXJJHVWLRQVLQFOXGHGUHTXLULQJPHQWRSD\HYHQLIPLQLPDOO\IRU30,392QH8.UHVHDUFKHUDOVRPHQWLRQHGWD[LQJPDUULDJHOLFHQVHV2WKHUSURJUDPVZLWK
H[WUHPHO\OLPLWHGIXQGLQJVWDUWHGZLWKSUHYHQWLRQJURXSVIRUPHQDQGORRNWRVORZO\GHYHORSVPDOOSURJUDPVIRUPHQZKRDUHNQRZQWRKDYHXVHGYLROHQFHDVVWDII
DQGIXQGLQJFDSDFLW\LQFUHDVH
13
Additional  *VUZPKLY MVYTHS JLY[PJH[PVU [V
WYVMLZZPVUHSPaL [OL 7407= LSK HUK
Considerations KL]LSVWYLNPVUHSVYUH[PVUHSJVVYKPUH[-
ing bodies.6XFKERGLHVRQFHHVWDEOLVKHGVKRXOGEH
JLQE\FRQVROLGDWLQJEHVWSUDFWLFHVIRUDJLYHQUHJLRQZLWKDQ
,Q DGGLWLRQ WR WKH UHTXLVLWH FRQGLWLRQV DERYH DQG WKH QHHG H\HWRZDUGXOWLPDWHO\GHYHORSLQJVWDQGDUGVIRU30,39&UH
IRUPRUHLQIRUPDWLRQDQGUHVHDUFKLQDUHODWLYHO\QHZILHOG DWLQJVXFKFRRUGLQDWLQJERGLHVFRXOGHQKDQFHDFFRXQWDELOLW\
0HQ(QJDJHDQGSDUWQHUVUHFRPPHQGWKHIROORZLQJ RISDUWLFLSDQWVDWWHQGLQJSURJUDPVDQGSURJUDPTXDOLW\GH
YHORSVWDQGDUGVRUDFFUHGLWDWLRQDQGFUHDWHMRLQWVWUDWHJLHV
 +L]LSVW LMMLJ[P]L WHY[ULYZOPWZ IRUOREE\LQJDQGIXQGUDLVLQJ,QVRPH*OREDO1RUWKVHWWLQJV
VWDQGDUGV KDYH EHHQ GHYHORSHG DW WKH UHJLRQDO QDWLRQDO
and networksIRUFRRUGLQDWHGFRPPXQLW\UHVSRQVHV DQGVWDWHOHYHOV5(63(&7DQXPEUHOODRUJDQL]DWLRQGH
(QJDJHPHQW ZLWK IRXU GLIIHUHQW VHFWRUV ZDV LGHQWLILHG DV YHORSHG WKH PRVW ULJRURXV DFFUHGLWDWLRQ V\VWHP ZH LGHQWL
UHOHYDQW   WR UDLVH DZDUHQHVV DERXW ,39 DQG 30,39 ILHG$WWKHWLPHRIWKHUHYLHZ5(63(&7KDGDFFUHGLWHGWHQ
DPRQJ MXGJHV DQG WKH MXGLFLDO V\VWHP DQG SROLFH   SURJUDPVWKURXJKRXWWKH8. 7RGGLQWHUYLHZ 6WDQ
KHDOWKFDUH DQG VRFLDO ZRUN SURIHVVLRQDOV DQG VXEVWDQFH GDUGVZHUHDOVRLGHQWLILHGZLWKLQWKH&RXQFLORI(XURSH .HO
DEXVHVHUYLFHVVRWKHLUVWDIIFDQPDNHUHIHUUDOVZKHQWKH\ O\ LQ$XVWUDOLDZKHUHWKH\ZHUHHVWDEOLVKHGE\WKH
HQFRXQWHUXVHVRI,39  JURXSVIRUZRPHQDQGFKLOGUHQ 4XHHQVODQGJRYHUQPHQWDQGZLWKLQPRVW86VWDWHV86
DQGRWKHUW\SHVRIRUJDQL]DWLRQVZRUNLQJZLWKWKHVDPHJRDO VWDWHSURJUDPVWDQGDUGVDUHSRRUO\LPSOHPHQWHGDFFRUGLQJ
RIHQGLQJYLROHQFHDJDLQVWZRPHQDQG  WKHVWDIIRIVLPLODU WRWZRVWXGLHV &DOLIRUQLDDQG/DEULRODHWDOLQ
30,39DQGYLROHQFHSUHYHQWLRQSURJUDPV *RQGROI 

 0U]LZ[  ZPNUPJHU[S` PU PTWYV]L-


 *HYY` V\[ HKKP[PVUHS YLZLHYJO
TLU[ VM Z[HMM [YHPUPUN HUK JHWHJP[` [V
HUK WYVNYHT L]HS\H[PVUZ VU 7407=
PTWSLTLU[7407=7UDLQLQJVKRXOGLQFOXGHVSDFH 5HVHDUFK VKRXOG EH SULRULWL]HG LQ VHWWLQJV ZKHUH 30,39
IRUSUDFWLWLRQHUVWRFKDOOHQJHWKHLURZQSRWHQWLDOO\KDUPIXORU DUHHPHUJLQJ{LQWKH*OREDO6RXWKDQGLQUHVRXUFHSRRU
ELDVHGYLHZV 5RWKPDQHWDO DQGIROORZJHQGHUWUDQV VHWWLQJV LQ SDUWLFXODU 7KLV LQFOXGHV HQDEOLQJ SUDFWLWLRQHUV
IRUPDWLYHDSSURDFKHV)RUVRPH30,39LQ,QGRQHVLDDQG WREH|HYDOXDWLRQUHDG\}VXFKDVE\LQFUHDVLQJWKHQXPEHU
6RXWK$IULFDWKLVDOVRHQWDLOHGVKLIWVLQWKLQNLQJDPRQJIH RISDUWLFLSDQWVLQRUGHUWRKDYHDODUJHHQRXJKVDPSOHDQG
PDOHFRXQVHORUVWUDLQHGWRZRUNZLWKZRPHQVXUYLYRUV6WDII HQKDQFLQJ HYDOXDWLRQ FDSDFLW\ LQ *OREDO 6RXWK VHWWLQJV
VNLOOV VKRXOG DOVR LQFOXGH IDFLOLWDWLQJ JURXSV LQ ZD\V WKDW 'RQRUV81DJHQFLHVDQGRWKHURUJDQL]DWLRQVFRXOGVXSSRUW
LPSURYH SDUWLFLSDWLRQ DQG KROG PHQ DFFRXQWDEOH ZLWKRXW WKHVHHYDOXDWLRQVDQGSDUWQHUVKLSV5HFRJQL]LQJWKDWWKHUH
KXPLOLDWLRQRUDOLHQDWLRQ *XHGHV +HDOWKFDUHVRFLDO DUHYHU\IHZ*OREDO6RXWKHYDOXDWLRQVFROOHDJXHVZLWKZKRP
VHUYLFHZRUNHUVDQGRWKHUSURYLGHUVZKRPD\FRPHDFURVV ZH VSRNH DIILUPHG WKH QHHG WR EH FDXWLRXV DERXW PDNLQJ
PHQZKRKDYHXVHGYLROHQFHVKRXOGEHWUDLQHGWRUHFRJQL]H LQIHUHQFHV IURP RQH VHWWLQJ WR DQRWKHU 6SHFLILF DUHDV RI
DQGDGGUHVVYLROHQFHDJDLQVWZRPHQ{LQFOXGLQJGRPHVWLF UHVHDUFKWKDWVWLOOQHHGWREHDGGUHVVHGLQFOXGH
YLROHQFH ,39 DQG *%9 { VR WKDW WKH\ FDQ UHIHU PHQ WR
DQG KHOS PD[LPL]H WKH LPSDFW RI 30,39 :RUOGZLGH DQG f WKHHIIHFWLYHQHVVRIPDQGDWHGJURXSVYHUVXVWKRVHQRW
HVSHFLDOO\LQ*OREDO6RXWKFRXQWULHVEDVLFNQRZOHGJHDQG EHLQJPRQLWRUHGE\FRXUWVRURWKHUDXWKRULWLHV :DWKHQ
VHQVLWLYLW\DURXQG*%9LVODFNLQJDPRQJVHUYLFHSURYLGHUV 0DF0LOODQ 
)RULQVWDQFHDUHFHQWVWXG\LQ*XLQHDVKRZHGWKDWOHVVWKDQ f DSSURDFKHVWRUHGXFLQJGURSRXWUDWHV
RQHWKLUG  SHUFHQW  RI KHDOWKFDUH SURYLGHUV LQWHUYLHZHG f DGGUHVVLQJWKHHIIHFWVRIPHQVFKLOGKRRGH[SHULHQFHV
KDGHYHUUHFHLYHGWUDLQLQJRQ*%9 7KH5(6321'3URMHFW RI DQG H[SRVXUH WR YLROHQFH JLYHQ WKHVH H[SHULHQFHV
  LPSDFWRQDGXOWXVHRIYLROHQFH %DUNHUHWDODQG

14
&RQWUHUDVHWDO 
f SURJUDPOHQJWK 6DXQGHUV 
f HQVXULQJFXOWXUDODQGUDFLDOHWKQLFDSSURSULDWHQHVV
f XQGHUVWDQGLQJZRPHQVODFNRIUHSRUWLQJ GXHWRFXOWXUDO
QRUPVQRUPDOL]DWLRQRIYLROHQFHIHDURUODFNRIDFFHVV 
f RSWLPDO FRRUGLQDWLRQ ZLWK VHUYLFHV IRU ZRPHQ DQG
FKLOGUHQDQG&&5
f LPSOHPHQWLQJ30,39LQVHWWLQJVRIKLJKXUEDQYLROHQFH
DQG FRQIOLFW DQG SRVWFRQIOLFW VHWWLQJV H[SORULQJ
SV\FKRVRFLDODQGWUDXPDEDVHGDSSURDFKHV
f FRVWEHQHILWDQDO\VLV

8OWLPDWHO\H[SHULPHQWDODQGRUWKHPRVWULJRURXVO\GHVLJQHG
HYDOXDWLRQVVKRXOGEHXQGHUVWRRGDVLPSRUWDQWLQYHVWPHQWVLQ
LPSDFWPHDVXUHPHQW:KHQVXFKHYDOXDWLRQVDUHQRWIHDVLEOH
RUSURJUDPVDUHQRWDWDVWDJHDWZKLFKVXFKDQHYDOXDWLRQ
LV SRVVLEOH KRZHYHU SUDFWLWLRQHUV DQG UHVHDUFKHUV VKRXOG
QRQHWKHOHVVFROOHFWLPSRUWDQWPRQLWRULQJDQGHYDOXDWLRQGDWD
DQG DSSO\ WKDW GDWD WRZDUG LPSURYLQJ 30,39 UDWKHU WKDQ
ZDLWWRLPSOHPHQWWKHPRVWULJRURXVHYDOXDWLRQ5HVHDUFKHUV
VKRXOGVHHNDEDODQFHEHWZHHQH[SORULQJDSSURSULDWHVWXG\
GHVLJQV WKDW PD\ FDWHU WR GLYHUVH HYDOXDWLRQ QHHGV DQG
FDSDFLW\ LH RSHUDWLRQDO DQG LPSOHPHQWDWLRQ UHVHDUFK ULJRURXVO\ DV SRVVLEOH WR HQVXUH FUHGLELOLW\ DQG WR GHYHORS
SURFHVVHYDOXDWLRQVDQGIRUPVRIWKHRU\EDVHGHYDOXDWLRQ  LQGLFDWRUVRISUHYHQWLQJDQGVWRSSLQJYLROHQFHDQGRWKHUZLVH
DQG DW WKH VDPH WLPH VHHNLQJ WR PHDVXUH LPSDFW DV HIIHFWLYHSURJUDPVDQGRYHUDOOSURJUDPHIIHFWLYHQHVV

V. CONCLUDING REMARKS
,ISURJUDPVIRUPHQZKRKDYHXVHG,39DUHJRLQJWRFRQWLQXHWREHLPSOHPHQWHGLQWKHDEVHQFHRIFRQVLVWHQWHYLGHQFHRI
WKHLUHIIHFWLYHQHVV DVWKH\DOPRVWFHUWDLQO\ZLOO KRZFDQWKH\EHHYDOXDWHGWRLGHQWLI\EHVWSUDFWLFHVDQGHOLPLQDWH,39LQ
VHWWLQJVDFURVVWKHZRUOG"5HVHDUFKFRQGXFWHGWRGDWHGRHVRIIHUFRQVLGHUDEOHLQIRUPDWLRQIRUXQGHUVWDQGLQJVRPHRIWKH
URRWFDXVHVDQGDVVRFLDWHGIDFWRUVWKDWPXVWEHLQWHJUDWHGLQWRLQWHUYHQWLRQVIRUPHQZKRKDYHXVHG,397KH,0$*(6VWXG\
FRQILUPVSUHYLRXVUHVHDUFKRQPHQVXVHRI,39DQGWKHLUHFRQRPLFDQGZRUNUHODWHGVWUHVVWKHLUFKLOGKRRGH[SHULHQFHVRI
YLROHQFHWKHLULQHTXLWDEOHDWWLWXGHVDERXWJHQGHUDQGWKHLUDOFRKROXVH %DUNHUHWDO 7KHUHDUHNQRZQEHQHILWVWR
30,39VXFKDVUHGXFHGUHFLGLYLVPDQGDOORZLQJIRUPRQLWRULQJRISDUWLFLSDQWVVRWKDWLIULVNHVFDODWHVWKHUHLVRSSRUWXQLW\
WRWDNHDFWLRQWRSURWHFWYLFWLPV$GGLWLRQDOUHVHDUFKLVQHHGHGKRZHYHUWREULQJLQWRIRFXVWKHSURJUDPPLQJLPSOLFDWLRQVRI
WKHVHULVNIDFWRUVSDUWLFXODUO\LQUHVRXUFHSRRUVHWWLQJVDQGWRH[SDQGUHVHDUFKLQDUHDVVXFKDVWKRVHPHQWLRQHGKHUH*%9
GRPHVWLFYLROHQFHQDWLRQDOODZVLQLVRODWLRQDUHLQVXIILFLHQWZLWKRXWDQH[DPLQDWLRQRIKRZWKH\DUHLPSOHPHQWHGDQGKRZWKH\
OLPLWRUHQFRXUDJH30,39DQGDFFRUGLQJWRZKLFKNLQGVRIPHDVXUHV

:HNQRZWKDWFRPSUHKHQVLYHO\FKDOOHQJLQJPHQVYLROHQFHHQWDLOVDPRQJRWKHUIDFWRUVZLGHUFKDQJHDWWKHVRFLRFXOWXUDO
DQGSROLWLFDOOHYHOVGHFRQVWUXFWLQJGRPLQDQWIRUPVRIPDVFXOLQLW\DQGHQWLWOHPHQWWKDWKDYHWUDGLWLRQDOO\EHHQOLQNHGWRYLROHQFH
DQGFRQWURORYHUZRPHQDWWKHKRXVHKROGOHYHODQGEH\RQGDQGLGHQWLI\LQJDQGIRVWHULQJDOWHUQDWLYHIRUPVRIPDVFXOLQLW\
%RR]QDLHU LQFOXGLQJDVQRQYLROHQWSDUWQHUVIDWKHUVDQGFDUHJLYHUV&OHDUO\30,39ZLOOQRWEHDEOHWRDFKLHYHWKLV
PXOWLOHYHOFKDQJHLQLVRODWLRQEXWWKH\FDQZKHQLPSOHPHQWHGZLWKWKHFRQVLGHUDWLRQVSUHVHQWHGLQWKLVSDSHUEHSDUWRIDQ
LQWHJUDWHGDQGFRRUGLQDWHGUHVSRQVHWRUHGXFLQJPHQVYLROHQFHDJDLQVWWKHLULQWLPDWHSDUWQHUVLQVHWWLQJVZRUOGZLGH

15
VI. REFERENCES
$FRVWD))LOKR$$ %URQ]$  &RQYHUVDVKRPHPDKRPHP*UXSRUHIOH[LYRGHJQHURzPHWRGRORJLD>0DQWR
PDQFRQYHUVDWLRQV*HQGHUUHIOH[LYHJURXSzPHWKRGRORJ\@5LRGH-DQHLUR,QVWLWXWR1RRV5HWULHYHGIURPKWWSZZZQRRV
RUJEUXVHUILOHVILOHPHWRGRORJLDBSRUWSGI

$GDPV'  &HUWLILHG%DWWHUHU,QWHUYHQWLRQ3URJUDPV+LVWRU\3KLORVRSKLHV7HFKQLTXHV&ROODERUDWLRQV,QQRYDWLRQV


DQG&KDOOHQJHV3RVLWLRQSDSHUSUHVHQWHGDWWKHSROLF\V\PSRVLXP%DWWHUHU,QWHUYHQWLRQ'RLQJWKH:RUNDQG0HDVXULQJ
WKH3URJUHVV6SRQVRUHGE\WKH1DWLRQDO,QVWLWXWHRI-XVWLFHDQG)DPLO\9LROHQFH3UHYHQWLRQ)XQG%HWKHVGD0''HFHPEHU
z

$JXD\R) 6DGOHU0HGV  0DVFXOLQLGDGHV\3ROWLFDV3EOLFDV,QYROXFUDQGR+RPEUHVHQOD(TXLHGDGGH*QHUR


6DQWLDJR&KLOH8QLYHUVLGDGGH&KLOH{)DFXOWDGGH&LHQFLDV6RFLDOHV'HSDUWDPHQWRGH$QWURSRORJD

$OGRUDQGR(  $VVHVVLQJWKH(IILFDF\RI%DWWHUHU,QWHUYHQWLRQ3URJUDPVLQ&RQWH[W3RVLWLRQSDSHUSUHVHQWHGDWWKH


SROLF\V\PSRVLXP%DWWHUHU,QWHUYHQWLRQ'RLQJWKH:RUNDQG0HDVXULQJWKH3URJUHVV6SRQVRUHGE\WKH1DWLRQDO,QVWLWXWH
RI-XVWLFHDQG)DPLO\9LROHQFH3UHYHQWLRQ)XQG%HWKHVGD0''HFHPEHUz

$QGHUVRQ0%  'RQRKDUP+RZDLGFDQVXSSRUWSHDFH{RUZDU%RXOGHU&2/\QQH5LHQQHU3XEOLVKHUV

$UQH\) :HVWE\0$  0HQV3ODFHV/LWHUDWXUH5HYLHZ7KH&HQWUHIRU&KLOG'HYHORSPHQWDQG(GXFDWLRQ0HQ]LHV


6FKRRO RI +HDOWK 5HVHDUFK 'DUZLQ 17 $XVWUDOLD 5HWULHYHG IURP KWWSFFGHPHQ]LHVHGXDXVLWHVGHIDXOWILOHV$UQH\
:HVWE\0HQV3ODFHVSGI

$VNHODQG ,5 (YDQJ $  +HLU 7   $VVRFLDWLRQ RI 9LROHQFH $JDLQVW 3DUWQHU DQG )RUPHU 9LFWLP ([SHULHQFHV $
6DPSOHRI&OLHQWV9ROXQWDULO\$WWHQGLQJ7KHUDS\-RXUQDORI,QWHUSHUVRQDO9LROHQFHz

%DEFRFN-&*UHHQ&( 5RELH&  'RHVEDWWHUHUVWUHDWPHQWZRUN"$PHWDDQDO\WLFUHYLHZRIGRPHVWLFYLROHQFH


WUHDWPHQWRXWFRPHUHVHDUFK&OLQLFDO3V\FKRORJ\5HYLHZz

%DUNHU*&RQWUHUDV-0+HLOPDQ%6LQJK$.9HUPD5. 1DVFLPHQWR0  (YROYLQJ0HQ,QLWLDO5HVXOWV


IURPWKH,QWHUQDWLRQDO0HQDQG*HQGHU(TXDOLW\6XUYH\ ,0$*(6 :DVKLQJWRQ'&,QWHUQDWLRQDO&HQWHUIRU5HVHDUFKRQ
:RPHQ ,&5: DQG5LRGH-DQHLUR,QVWLWXWR3URPXQGR

%DUNHU* 6FKXOWH-  (QJDJLQJ0HQDV$OOLHVLQ:RPHQV(FRQRPLF(PSRZHUPHQW6WUDWHJLHVDQG5HFRPPHQGDWLRQV


IRU&$5(&RXQWU\2IILFHV&$5(,QWHUQDWLRQDO

%RRQ]DLHU)  *OREDO/LWHUDWXUH5HYLHZ,QWHUYHQWLRQVWRHQGPHQVYLROHQFHDJDLQVWZRPHQSDUWQHUV5XWJHUV:)3


5HWULHYHGIURPKWWSZZZUXWJHUVZSIRUJDUWLFOHWRRONLWPHQPDOHFRXQVHOOLQJFRQWH[WLQWLPDWHSDUWQHUYLROHQFH

&DPSEHOO-&  'DQJHU$VVHVVPHQW,QVWUXPHQW5HWULHYHG$SULOIURPKWWSZZZPXVFHGXYDZSUHYHQWLRQ


UHVHDUFKLQVWUXPHQWVKWPO

&DPSEHOO-&HWDO  $VVHVVLQJ5LVN)DFWRUVIRU,QWLPDWH3DUWQHU+RPLFLGH1DWLRQDO,QVWLWXWHRI-XVWLFH-RXUQDO


z

&DUWHU/6  'RLQJWKH:RUNDQG0HDVXULQJWKH3URJUHVV$5HSRUWRQWKH'HFHPEHU([SHUW5RXQGWDEOH)DPLO\


9LROHQFH3UHYHQWLRQ)XQG
16
&DWWDQHR/ *RRGPDQ/  5LVNIDFWRUVIRUUHDEXVHLQLQWLPDWHSDUWQHUYLROHQFH$FURVVGLVFLSOLQDU\FULWLFDOUHYLHZ
7UDXPD9LROHQFHDQG$EXVH$5HYLHZ-RXUQDOz

&RQWUHUDV0+HLOPDQ%%DUNHU*6LQJK$9HUPD5 %ORRPILHOG-  |%ULGJHVWR$GXOWKRRG8QGHUVWDQGLQJ


WKH/LIHORQJ,QIOXHQFHRI0HQV&KLOGKRRG([SHULHQFHVRI9LROHQFH$QDO\]LQJ'DWDIURPWKH,QWHUQDWLRQDO0HQDQG*HQGHU
(TXDOLW\ 6XUYH\} :DVKLQJWRQ '& ,QWHUQDWLRQDO &HQWHU IRU 5HVHDUFK RQ :RPHQ ,&5:  DQG 5LR GH -DQHLUR ,QVWLWXWR
3URPXQGR

&RUYR.'XWWRQ'&KHQ:  'R'XOXWK0RGHO,QWHUYHQWLRQV:LWK3HUSHWUDWRUVRI'RPHVWLF9LROHQFH9LRODWH0HQWDO


+HDOWK3URIHVVLRQDO(WKLFV"(WKLFV %HKDYLRUz

'DO\-( 3HORZVNL6  3UHGLFWRUVRIGURSRXWDPRQJPHQZKREDWWHU$UHYLHZRIVWXGLHVZLWKLPSOLFDWLRQVIRU


UHVHDUFKDQGSUDFWLFH9LROHQFH 9LFWLPVz

'DYLHV-/\RQ( 0RQWL&DWDQLD'  6DIHW\SODQQLQJZLWKEDWWHUHGZRPHQFRPSOH[OLYHVGLIILFXOWFKRLFHV7KRXVDQG


2DNV&$6DJH3XEOLFDWLRQV

(FNKDUGW&0XUSK\&%ODFN' 6XKU/  ,QWHUYHQWLRQSURJUDPVIRUSHUSHWUDWRUVRILQWLPDWHSDUWQHUYLROHQFH


&RQFOXVLRQVIURPDFOLQLFDOUHVHDUFKSHUVSHFWLYH3XEOLF+HDOWK5HSRUWV 

)HGHU /  'XJDQ /   $ WHVW RI WKH HIILFDF\ RI FRXUWPDQGDWHG FRXQVHOLQJ IRU GRPHVWLF YLROHQFH RIIHQGHUV 7KH
%URZDUGH[SHULPHQW-XVWLFH4XDUWHUO\z

)HGHU/-ROLQ$ )H\HUKDUP:  /HVVRQVIURPWZRUDQGRPL]HGH[SHULPHQWVLQFULPLQDOMXVWLFHVHWWLQJV&ULPH


DQG'HOLQTXHQF\z

)HGHU/ :LOVRQ'  $PHWDDQDO\WLFUHYLHZRIFRXUWPDQGDWHGEDWWHUHULQWHUYHQWLRQSURJUDPV&DQFRXUWVDIIHFW


DEXVHUVEHKDYLRUV"-RXUQDORI([SHULPHQWDO&ULPLQRORJ\z

*DUFD0RUHQR&-DQVHQ+(OOVEHUJ0+HLVH/ :DWWV&  :+20XOWLFRXQWU\6WXG\RQ:RPHQV+HDOWKDQG


'RPHVWLF9LROHQFHDJDLQVW:RPHQ*HQHYD:+2

*KDQRWDNLV(%UXLQV03HDFRFN'5HGSDWK- 6ZDUW5  6WRS3ULVRQ5DSHLQ6RXWK$IULFD$JHQGD

*RQGROI(  /LPLWDWLRQRIH[SHULPHQWDOHYDOXDWLRQVRIEDWWHUHUSURJUDPV7UDXPD9LROHQFHDQG$EXVH

*RQGROI(  %DWWHUHULQWHUYHQWLRQV\VWHPV,VVXHVRXWFRPHVDQGUHFRPPHQGDWLRQV7KRXVDQG2DNV&$6DJH

*RQGROI (   (YDOXDWLQJ %DWWHUHU &RXQVHOLQJ 3URJUDPV $ 'LIILFXOW 7DVN 6KRZLQJ 6RPH (IIHFWV DQG ,PSOLFDWLRQV
$JJUHVVLRQDQG9LROHQW%HKDYLRUz

*RQGROI(  7KHRUHWLFDODQGUHVHDUFKVXSSRUWIRUWKH'XOXWK0RGHO$UHSO\WR'XWWRQDQG&RUYR$JJUHVVLRQDQG


9LROHQW%HKDYLRUz

*RQGROI(  7KH6XUYLYDORI%DWWHUHU3URJUDPV"5HVSRQGLQJWR|(YLGHQFH%DVHG3UDFWLFHDQG,PSURYLQJ3URJUDP


2SHUDWLRQ}3RVLWLRQSDSHUSUHVHQWHGDWWKHSROLF\V\PSRVLXP%DWWHUHU,QWHUYHQWLRQ'RLQJWKH:RUNDQG0HDVXULQJWKH
3URJUHVV6SRQVRUHGE\WKH1DWLRQDO,QVWLWXWHRI-XVWLFHDQG)DPLO\9LROHQFH3UHYHQWLRQ)XQG%HWKHVGD0''HFHPEHU
z

17
*XHGHV$  0HQDQG%R\V.QRZOHGJH0RGXOH81:RPHQ9LUWXDO.QRZOHGJH&HQWUHWR(QG9LROHQFH$JDLQVW:RPHQ
DQG*LUOV81:RPHQDQG0HQ(QJDJH5HWULHYHGIURPKWWSZZZHQGYDZQRZRUJHQPRGXOHVYLHZPHQER\VKWPO

*UHHQH 0(  /HYDFN $   |6\QFKURQL]LQJ *HQGHU 6WUDWHJLHV $ &RRSHUDWLYH 0RGHO IRU ,PSURYLQJ 5HSURGXFWLYH
+HDOWK DQG 7UDQVIRUPLQJ *HQGHU 5HODWLRQV} :DVKLQJWRQ '& 3RSXODWLRQ 5HIHUHQFH %XUHDX IRU WKH ,QWHUDJHQF\ *HQGHU
:RUNLQJ*URXSRI86$,'5HWULHYHGIURPKWWSZZZSUERUJLJZJBPHGLDV\QFKURQL]LQJJHQGHUVWUDWHJLHVSGI

+DUW%-  )XWXUH'LUHFWLRQVIRU%,3V([DPLQLQJWKH3RZHURI0DOH3HHU6XSSRUWDQG%XLOGLQJ$OWHUQDWLYH6XSSRUW


&RPPXQLWLHV3RVLWLRQSDSHUSUHVHQWHGDWWKHSROLF\V\PSRVLXP%DWWHUHU,QWHUYHQWLRQ'RLQJWKH:RUNDQG0HDVXULQJ
WKH3URJUHVV6SRQVRUHGE\WKH1DWLRQDO,QVWLWXWHRI-XVWLFHDQG)DPLO\9LROHQFH3UHYHQWLRQ)XQG%HWKHVGD0''HFHPEHU
z

+HDOH\.6PLWK& 26XOOLYDQ&  %DWWHUHU,QWHUYHQWLRQ3URJUDP$SSURDFKHVDQG&ULPLQDO-XVWLFH6WUDWHJLHV


1DWLRQDO,QVWLWXWHRI-XVWLFH:DVKLQJWRQ'&

+ROW]ZRUWK0XQURH$ 0HHKDQ-  7\SRORJLHVRIPHQZKRDUHPDULWDOO\YLROHQW-RXUQDORI,QWHUSHUVRQDO9LROHQFH




-RKQVWRQH5REHUWVRQ6/DZQ6':HOWH$%HNNHU/ :RRG5  7XEHUFXORVLVLQD6RXWK$IULFDQSULVRQzD


WUDQVPLVVLRQPRGHOLQJDQDO\VLV6RXWK$IULFDQ0HGLFDO-RXUQDOz

.HOO\/  &RPEDWLQJYLROHQFHDJDLQVWZRPHQ0LQLPXPVWDQGDUGVIRUVXSSRUWVHUYLFHV6WUDVERXUJ*HQGHU(TXDOLW\


DQG$QWL7UDIILFNLQJ'LYLVLRQ'LUHFWRUDWH*HQHUDORI+XPDQ5LJKWVDQG/HJDO$IIDLUV&RXQFLORI(XURSH

.URSS3 +DUW6  7KHVSRXVDODVVDXOWULVNDVVHVVPHQW 6$5$ JXLGH5HOLDELOLW\DQGYDOLGLW\LQDGXOWPDOHRIIHQGHUV


/DZDQG+XPDQ%HKDYLRUz

.ULVKQDQ65RFFD&+XEEDUG$(6XEELDK.(GPHDGHV- 3DGLDQ16  'RFKDQJHVLQVSRXVDOHPSOR\PHQW


VWDWXVOHDGWRGRPHVWLFYLROHQFH",QVLJKWVIURPDSURVSHFWLYHVWXG\LQ%DQJDORUH,QGLD6RFLDO6FLHQFH 0HGLFLQH
z

/DEULROD05HPSHO0 'DYLV5  7HVWLQJWKHHIIHFWLYHQHVVRIEDWWHUHUSURJUDPVDQGMXGLFLDOPRQLWRULQJ)LQDO


UHSRUW1DWLRQDO,QVWLWXWHRI-XVWLFH:DVKLQJWRQ'&

/LOD 0 &DWDO $ &RQFKHOO 5 *DUFD $ /RUHQ]R 09 3HGUQ 9  7HUUHURV (   8QD ([SHULHQFLD GH
,QYHVWLJDFLQ)RUPDFLQH,QWHUYHQFLQFRQ+RPEUHV3HQDGRVSRU9LROHQFLDFRQWUDOD0XMHUHQOD8QLYHUVLGDGGH9DOHQFLD
3URJUDPD &RQWH[WR >$ 5HVHDUFK 7UDLQLQJ DQG ,QWHUYHQWLRQ ([SHULHQFH DW 8QLYHUVLW\ RI 9DOHQFLD ZLWK 0HQ &RQYLFWHG RI
9LROHQFH$JDLQVW:RPHQ3URJUDPD&RQWH[WR@,QWHUYHQFLQ3VLFRVRFLDOz

0F&DOPDQ - 7VH\ . :HQLWRQJ 0  :KLWHVLGH 0   $ OLWHUDWXUH UHYLHZ IRU LQGLJHQRXV PHQV JURXSV &DLUQV
6FKRRORI,QGLJHQRXV$XVWUDOLDQ6WXGLHVDQG6FKRRORI3XEOLF+HDOWKDQG7URSLFDO0HGLFLQH-DPHV&RRN8QLYHUVLW\

0LOOV /* *UDXZLOHU 3  3H]ROG 1   (QKDQFLQJ 6DIHW\ DQG 5HKDELOLWDWLRQ LQ ,QWLPDWH 3DUWQHU 7UHDWPHQW 1HZ
3HUVSHFWLYHV3XEOLF+HDOWK5HSRUWVz

0RUULVRQ 6 /LQGTXLVW & +DZNLQV 6 21HLO - 1HVLXV -  0DWKHZ $   (YLGHQFHEDVHG UHYLHZ RI EDWWHUHU
LQWHUYHQWLRQDQGSUHYHQWLRQSURJUDPV)LQDOUHSRUWWRWKH&HQWHUVIRU'LVHDVH&RQWURODQG3UHYHQWLRQ &'& $WODQWD*$

18
0RUULVRQ0(OOVEHUJ0 %RWW6  $GGUHVVLQJ*HQGHU%DVHG9LROHQFH$&ULWLFDO5HYLHZRI,QWHUYHQWLRQV:RUOG
%DQN5HVHDUFK2EVHUYHUz

0XOOHQGHU $  %XUWRQ 6   5HGXFLQJ 'RPHVWLF 9LROHQFHx:KDW :RUNV" 3HUSHWUDWRU 3URJUDPV &ULPH 5HGXFWLRQ
5HVHDUFK6HULHV/RQGRQ3ROLFLQJDQG5HGXFLQJ&ULPH8QLW'HYHORSPHQWDQG6WDWLVWLFV'LUHFWRUDWH

1DWLRQDO,QVWLWXWHRI-XVWLFH  'R%DWWHUHU,QWHUYHQWLRQ3URJUDPV:RUN"7ZR6WXGLHV5HVHDUFKIRU3UDFWLFH

3HDFRFN' 5RWKPDQ(1RYHPEHU:RUNLQJ:LWK<RXQJ0HQ:KR%DWWHU&XUUHQWVWUDWHJLHVDQGQHZGLUHFWLRQV
+DUULVEXUJ3$9$:QHWDSURMHFWRIWKH1DWLRQDO5HVRXUFH&HQWHURQ'RPHVWLF9LROHQFH3HQQV\OYDQLD&RDOLWLRQ$JDLQVW
'RPHVWLF9LROHQFH5HWULHYHG0DUFKIURPKWWSZZZYDZQHWRUJ

5HVSHFW  'RPHVWLF9LROHQFH3HUSHWUDWRUV:RUNLQJZLWKWKHFDXVHRIWKHSUREOHP/RQGRQ5HVSHFW

7KH5(6321'3URMHFW  %DVHOLQHDVVHVVPHQWRIWKHUHDGLQHVVRIKHDOWKIDFLOLWLHVWRUHVSRQGWRJHQGHUEDVHGYLROHQFH


LQ*XLQHD1HZ<RUN(QJHQGHU+HDOWK7KH5(6321'3URMHFW

5RWKPDQ(%XWFKDUW$ &HUG0  ,QWHUYHQLQJZLWKSHUSHWUDWRUVRILQWLPDWHSDUWQHUYLROHQFHDJOREDOSHUVSHFWLYH


*HQHYD:+2

5XWJHUV:3) D 7RRONLWIRU0HQz0DOH&RXQVHOOLQJLQWKH&RQWH[WRI,QWLPDWH3DUWQHU9LROHQFH&RXQVHOORUV:RUNERRN


5XWJHUV:3)5HWULHYHGIURPZZZUXWJHUVZSIRUJ

5XWJHUV:3) E 7RRONLWIRU0HQz0DOH&RXQVHOOLQJLQWKH&RQWH[WRI,QWLPDWH3DUWQHU9LROHQFH*XLGHOLQHVIRU$GDSWDWLRQ


DQG,PSOHPHQWDWLRQ5XWJHUV:3)5HWULHYHGIURPZZZUXWJHUVZSIRUJ

6DXQGHUV'*  *URXS,QWHUYHQWLRQVIRU0HQ:KR%DWWHU$6XPPDU\RI3URJUDP'HVFULSWLRQVDQG5HVHDUFK9LROHQFH


DQG9LFWLPVz

6FRWW ./ D  3UDFWLFDO &RQVLGHUDWLRQV IRU 3DUHQWLQJ ,QWHUYHQWLRQV IRU 0HQ ZKR %DWWHU +DUULVEXUJ 3$ 9$:QHW D
SURMHFWRIWKH1DWLRQDO5HVRXUFH&HQWHURQ'RPHVWLF9LROHQFH5HWULHYHGIURPKWWSZZZYDZQHWRUJ$VVRFB)LOHVB9$:QHW
$5B3UDFWLFDO&RQVLGHUDWLRQVIRU3DUHQWLQJ,QWHUYHQWLRQVSGI

6FRWW./ E 3DUHQWLQJ,QWHUYHQWLRQVIRU0HQZKR%DWWHU+DUULVEXUJ3$9$:QHWDSURMHFWRIWKH1DWLRQDO5HVRXUFH


&HQWHURQ'RPHVWLF9LROHQFH5HWULHYHGIURPKWWSZZZYDZQHWRUJ

6KHSDUG 0   7ZHQW\ \HDUV RI SURJUHVV LQ DGGUHVVLQJ GRPHVWLF YLROHQFH $Q DJHQGD IRU WKH QH[W  -RXUQDO RI
,QWHUSHUVRQDO9LROHQFHz

6LPRQ)UDVHU8QLYHUVLW\&HQWUHIRU5HVWRUDWLYH-XVWLFH  5HVWRUDWLYH-XVWLFH$6XPPDU\6LPRQ)UDVHU8QLYHUVLW\


&HQWUHIRU5HVWRUDWLYH-XVWLFH5HWULHYHG0DUFKIURPKWWSZZZVIXFDFIUMIXOOWH[WVXPPDU\SGI

6RDUHV%  $~FRQIOLWXDOLGDGHFRQMXJDOHRSDUDGLJPDGDYLROQFLDFRQWUDDPXOKHU',/(0$65HYLVWDGH(VWXGRVGH


&RQIOLWRH&RQWUROH6RFLDOz

6RX]D1HYHV$&RVWD/LPD' *RPHV6  5HODWULR)LQDO$YDOLDRH0RQLWRUDPHQWRGR6HUYLRGH(GXFDR


H 5HVSRQVDELOL]DR SDUD +RPHQV $XWRUHV GH 9LROQFLD GH *QHUR 6(5+1RYD ,JXDX >)LQDO 5HSRUW (YDOXDWLRQ DQG
0RQLWRULQJRIWKH6HUYLFHIRU(GXFDWLRQDQG$FFRXQWDELOLW\IRU0DOH3HUSHWUDWRUVRI*HQGHUEDVHG9LROHQFH@5LRGH-DQHLUR
,QVWLWXWRGH(VWXGRVGD5HOLJLR ,6(5 

19
6QRZ-RQHV$  7KH&RVWRI%DWWHUHU3URJUDPV-RXUQDORI,QWHUSHUVRQDO9LROHQFHz

6SLHJOHU6  0DSSLQJWKH/HJDO)UDPHZRUNWR3UHYHQW6H[XDO9LROHQFHDQG+,9LQ6RXWK$IULFDV&RUUHFWLRQDO)DFLOLWLHV


-RKDQQHVEXUJ6RQNH*HQGHU-XVWLFH1HWZRUN0DUFK

6WLWK605RVHQ.+0F&ROOXP((  (IIHFWLYHQHVVRI&RXSOHV7UHDWPHQWIRU6SRXVH$EXVH-RXUQDORI0DULWDO


DQG)DPLO\7KHUDS\z

7H[HLUD06 0DLD0  $$YDOLDRGR3URMHWR3D]HP&DVD3D]QR0XQGRDSDUWLUGRVVHXV%HQHILFLULRV


>(YDOXDWLRQRIWKH3URMHFW|3HDFHDW+RPH3HDFHLQWKH:RUOG}IURPWKHSHUVSHFWLYHRIEHQHILFLDULHV@5LRGH-DQHLUR,QVWLWXWR
1RRV 5HWULHYHG IURP KWWSZZZQRRVRUJEUXVHUILOHV DYDOLD&$& $RGRSURMHWRSD]HP
FDVD  SGI

7RQHOL 0-)   9LROQFLD 6H[XDO H 6DGH 0HQWDO $QOLVH GRV SURJUDPDV GH DWHQGLPHQWR D KRPHQV DXWRUHV GH
YLROQFLDVH[XDO5HODWULR)LQDOGH3HVTXLVD>6H[XDO9LROHQFHDQG0HQWDO+HDOWK$QDO\VLVRI6HUYLFH3URYLVLRQSURJUDPV
IRU0HQ3HUSHWUDWRUVRI6H[XDO9LROHQFH)LQDO5HVHDUFK5HSRUW@8QLYHUVLGDGH)HGHUDOGH6DQWD&DWDULQD&HQWURGH)LORVRILD
H&LQFLDV+XPDQDV'HSDUWDPHQWRGH3VLFRORJLD1FOHRGH3HVTXLVD0DUJHQV0RGRVGH9LGD)DPOLDGH5HODHVGH
*QHUR

8QLWHG1DWLRQV3RSXODWLRQ)XQG  3URJUDPPLQJWR$GGUHVV9LROHQFH$JDLQVW:RPHQ7HQ&DVH6WXGLHV1HZ<RUN


81)3$

81:RPHQ  9LROHQFH$JDLQVW:RPHQ3UHYDOHQFH'DWD6XUYH\VE\&RXQWU\5HWULHYHGIURPKWWSZZZHQGYDZQRZ


RUJXSORDGVEURZVHUILOHVYDZBSUHYDOHQFHBPDWUL[BDSULOBSGI

81:RPHQ  (VWLPDWLQJWKH&RVWVRI'RPHVWLF9LROHQFHDJDLQVW:RPHQLQ9LHWQDP+DQRL81:RPHQ

81:RPHQDQG8QLWHG1DWLRQV3RSXODWLRQ)XQG 81)3$   &HQWURGHLQWHUYHQFLQFRQGXFWXDOSDUD+RPEUHV$SRUWHV


\GHVDIRVSDUDOD,QWHUYHQFLQFRQ+RPEUHVDJUHVRUHV6DQWR'RPLQJR'RPLQLFDQ5HSXEOLFKWWSFRXQWU\RIILFHXQISDRUJ
GRPLQLFDQUHSXEOLF"SXEOLFDWLRQV 

:DWKHQ &1  0DF0LOODQ +/ D  ,QWHUYHQWLRQV IRU 9LROHQFH $JDLQVW :RPHQ 6FLHQWLILF 5HYLHZ -RXUQDO RI WKH
$PHULFDQ0HGLFDO$VVRFLDWLRQz

:DWKHQ &1  0DF0LOODQ +/ E  3UHYHQWLRQ RI YLROHQFH DJDLQVW ZRPHQ 5HFRPPHQGDWLRQ VWDWHPHQW IURP WKH
&DQDGLDQ7DVN)RUFHRQ3UHYHQWLYH+HDOWK&DUH&DQDGLDQ0HGLFDO$VVRFLDWLRQ-RXUQDOz

:HVWPDUODQG1.HOO\/ &KDOGHU0LOOV-  :KDW&RXQWVDV6XFFHVV"/RQGRQ5HVSHFW

:RUOG+HDOWK2UJDQL]DWLRQ 6RQNH  *HQGHUPDLQVWUHDPLQJIRUKHDOWKPDQDJHUV$SUDFWLFDODSSURDFK)DFLOLWDWRUV


*XLGH$QQH[HVDQG+DQGRXWV-RKDQQHVEXUJDQG&DSH7RZQ6RXWK$IULFD6RQNH

:RUOG +HDOWK 2UJDQL]DWLRQ 5HSRUW RQ YLROHQFH DQG KHDOWK ,QWLPDWH 3DUWQHU 9LROHQFH   *HQHYD :RUOG +HDOWK
2UJDQL]DWLRQ

:LOOLDPV2- %HFNHU5/  'RPHVWLFSDUWQHUDEXVHWUHDWPHQWSURJUDPVDQGFXOWXUDOFRPSHWHQFH7KHUHVXOWVRID


QDWLRQDOVXUYH\9LROHQFHDQG9LFWLPV

20
VII. ANNEX A

A SUMMARY OF EVALUATION LITERATURE ON PM-IPV

7KLVWDEOHUHSUHVHQWVDVDPSOHRIPDMRUSURJUDPHYDOXDWLRQVFRQGXFWHGLQWKHSDVWGHFDGHEXWLVQRWH[KDXVWLYH&ULWHULD
IRULQFOXVLRQZHUHSXEOLFDWLRQLQSHHUUHYLHZHGMRXUQDOVDQGXVHRITXDVLH[SHULPHQWDOGHVLJQVDQGPHWDDQDO\VHV7KH
HYDOXDWLRQ UHYLHZV GHPRQVWUDWH WKH UDQJH RI RXWFRPHV DQG WKH QXPEHU DQG FRPSOH[LW\ RI YDULDEOHV WR EH FRQWUROOHG
IRU GXULQJ DQ HYDOXDWLRQ $GGLWLRQDO W\SHV RI UHYLHZV DUH LQFOXGHG WR GHPRQVWUDWH WKDW FXUUHQWO\ SURJUDPV LQ FRQWH[WV
ZRUOGZLGHPXVWORRNWRDYDULHW\RIVRXUFHVLQRUGHUWRGHYHORSSUDFWLFHVDQGLQFUHDVHWKHLUFDSDFLW\IRUULJRURXVHYDOXDWLRQ
7KLVUHYLHZDQGRWKHUVGHPRQVWUDWHWKHFRQFHQWUDWLRQRIHYDOXDWLRQVWKDWKDYHWDNHQSODFHLQ1RUWK$PHULFDUHLQIRUFLQJ
WKHQHHGIRUHYDOXDWLRQVWREHGHYHORSHGLQ*OREDO6RXWKFRQWH[WVLQSDUWLFXODU)XUWKHUQRWHZRUWK\HYDOXDWLRQVDUHWDNLQJ
SODFHSDUWLFXODUO\LQ/DWLQ$PHULFD7KHVHLQFOXGHDQHYDOXDWLRQRIWKH&HQWURGH,QWHUYHQFLQ&RQGXFWDOSDUD+RPEUHV
LQWKH'RPLQLFDQ5HSXEOLFWKDWKDVFROOHFWHGGDWDRQDQXPEHURILQGLFDWRUVRISURJUDPHIIHFWLYHQHVV 81:RPHQDQG
81)3$ 

QUASI-EXPERIMENTAL EVALUATIONS

2I WKH TXDVLH[SHULPHQWDO DQG H[SHULPHQWDO 5&7  VWXGLHV WKH IRUPHU DUH WKH PRVW FRPPRQ 7KH\ FRPSDUH SURJUDP
FRPSOHWHUVRUWKRVHZKRUHFHLYHDFHUWDLQGRVHLQWHUPVRIDWWHQGDQFHWRDJURXSRISURJUDPGURSRXWVRU~QRVKRZV
&ULWLTXHVLQFOXGHWKHDUJXPHQWWKDWVXFKVWXGLHVDUHFRPSDULQJXQOLNHJURXSV WKDWLVWKDWPHQZKRSDUWLFLSDWHLQWKH30
,39DUHGLIIHUHQWIURPWKRVHZKRGRQRW ([SHULPHQWDOGHVLJQVDUHVRPHWLPHVFRQVLGHUHGPRUHVFLHQWLILFDQGWKHUHIRUHD
~JROGVWDQGDUGIRUPHDVXULQJVXFFHVV7KHUHDUHDOVRLPSOHPHQWDWLRQFKDOOHQJHVVXFKDVILQGLQJDSXUHFRQWUROJURXSIRU
VXFKLQWHUYHQWLRQV *RQGROI 7KHWKUHHPRVWFRPSUHKHQVLYHDQGULJRURXVHYDOXDWLRQVRI30,39LGHQWLILHGWRGDWH
DUHDVIROORZV
f *RQGROI  FRQGXFWHGSHUKDSVWKHODUJHVWVFDOHTXDVLH[SHULPHQWDOVWXG\ZLWKPHQZKRKDYHXVHG,39,WHQWDLOHG
DODUJHQDWXUDOLVWLFFRPSDUDWLYHGHVLJQDFURVVPXOWLSOHVLWHVLQWKH86ZLWKTXDVLH[SHULPHQWDOVWXGLHVZLWKLQHDFKRI
IRXUVLWHVDQGIRXU\HDUIROORZXS5HVXOWVLQGLFDWHGWKDWVRPHSURJUDPVZHUHHIIHFWLYHLQVWRSSLQJDVVDXOWDQGDEXVH
WKDWEDWWHUHULQWHUYHQWLRQDSSURDFKHVVKRZSURPLVHDQGWKDWWKHSUHGRPLQDQWJHQGHUEDVHG&%7DSSURDFKPD\EH
DSSURSULDWHIRUWKHPDMRULW\RIPHQLQWKHVWXG\JURXS
f /DEULRODDQGFROOHDJXHVFRQGXFWHGDUDQGRPL]HGWULDOZLWKDTXDVLH[SHULPHQWDOFRPSDULVRQLQWKH86IRFXVLQJRQ
MXGLFLDOPRQLWRULQJLQ1HZ<RUN0DQGDWLQJRIIHQGHUVWREDWWHUHUSURJUDPVGLGQRWQHFHVVDULO\SURGXFHORZHUUDWHVRIUH
DEXVHZKLFKZDVLQNHHSLQJZLWKWKHILQGLQJVRISUHYLRXVWULDOVEXWGLGLQFUHDVHYLFWLPVDWLVIDFWLRQZLWKWKHVHQWHQFH
f )HGHU DQG FROOHDJXHV IRFXVLQJ RQ WKH FRQWH[W RI WKH 86 FULPLQDO MXVWLFH V\VWHP VKHG OLJKW RQ WKH SUREOHPV RI
XQFRQWUROOHGYDULDEOHVZLWKLQHYDOXDWLRQUHVHDUFK)RULQVWDQFHSDUWQHUVRIPHQZKRGURSRXWRI30,39PD\VHHN
DGGLWLRQDOKHOSDWDVKHOWHU7KXVZRPHQVVHHNLQJRISURWHFWLRQUDWKHUWKDQ RULQDGGLWLRQWR PHQVSDUWLFLSDWLRQ
DQGUHWHQWLRQRUGURSRXWLQ30,39zZRXOGQHHGWREHDFFRXQWHGIRUWRH[SODLQDQ\UHGXFWLRQVRULQFUHDVHVLQ,39
LQFLGHQFHV

*RQGROI 86 /DEULRODHWDO 86 )HGHU 'XJDQ)HGHU-ROLQ )H\HUKDUP 86 

21
EVALUATION REVIEWS AND REVIEWS OF PROGRAM APPROACHES

5XWJHUV:3)FRQGXFWHGWKLVUHYLHZRISURJUDPPRGHOVDQGWKHLUHIIHFWLYHQHVVLQRUGHUWRLQIRUPWKHGHYHORSPHQWRID
PDOHFRXQVHOLQJSURJUDPZLWKSDUWQHURUJDQL]DWLRQVLQ6RXWK$IULFDDQG,QGRQHVLD/LWHUDWXUHZRUOGZLGHZDVV\VWHPDWLFDOO\
VXUYH\HG $PRQJ VHYHUDO FRQFOXVLRQV DQG UHFRPPHQGDWLRQV WKH UHYLHZ IRXQG WKDW D VWDQGDUGL]HG RQHVL]HILWVDOO
DSSURDFKGRHVQRWVHHPWREHDSSURSULDWHDQGWKDWLWPD\EHWRRVRRQWRNQRZZKLFKPRGHOLIDQ\LVVXSHULRU&%7
DQGIHPLQLVWDSSURDFKHVZHUHIRXQGWRKDYHVRPHSRVLWLYHHIIHFWVEXWUHVXOWVZHUHPL[HG7KHUHYLHZFRQFOXGHGWKDW
SDUWLFLSDWLRQLQDQ\SURJUDPLVEHWWHUWKDQUHFHLYLQJQRWUHDWPHQWDWDOOLQWKDWLWVWRSVYLROHQWEHKDYLRULQDWOHDVWVRPHPHQ
1XPHURXVULVNIDFWRUVDUHOLNHO\WREHUHGXFHGLILQWHUYHQWLRQVWDNHSODFHRQDPXOWLWXGHRIOHYHOV

%RRQ]DLHU ,QWHUQDWLRQDOUHYLHZ

7KLVUHYLHZRISURJUDPW\SHVFRPPLVVLRQHGE\WKH:+2GHOLQHDWHVW\SHVRILQWHUYHQWLRQVRFFXUULQJLQGLIIHUHQWFRXQWULHV
GHVFULEHVDSSURDFKHVDQGWUDLQLQJRILQWHUYHQWLRQLVWVDQGFRPPXQLFDWHVWKHUHVXOWVRIHYDOXDWLRQV,WLQGH[HVSURJUDPV
IRU PHQ ZKR EDWWHU LQFOXGLQJ SURJUDPV LQ KLJK PLGGOH DQG ORZLQFRPH FRXQWULHV ZRUOGZLGH &RQFOXVLRQV LQFOXGH
LGHQWLILFDWLRQ RI WKH QHHG WR HVWDEOLVK SURFHVV DQG RXWFRPH HYDOXDWLRQV WKDW ZLOO GHPRQVWUDWH KRZ SURJUDPV IXQFWLRQ
HIIHFWLYHO\DQGLQZKDWZD\VWKH\IDOOVKRUW7RSUHYHQWH[WHQXDWLQJKDUPWRYLFWLPVDQGPLQLPL]HSRWHQWLDOZDVWHRIILQDQFLDO
DQGKXPDQUHVRXUFHVH[SHUWO\GHVLJQHGLQGHSHQGHQWO\FRQGXFWHGSURJUDPHYDOXDWLRQVDUHHVVHQWLDO

)LQGLQJVIURPHYDOXDWLRQUHVHDUFKVXUYH\HGLQWKLVVWXG\LQGLFDWHWKDWEDWWHUHULQWHUYHQWLRQSURJUDPVDUHDWOHDVWPRGHVWO\
VXFFHVVIXO DW SUHYHQWLQJ IXUWKHU DEXVH *RQGROI  6DXQGHUV   5HYLHZV RI 86 DQG 8. HYDOXDWLRQV IRXQG
WKDWWRSHUFHQWRISURJUDPFRPSOHWHUVUHPDLQQRQYLROHQWIRUVL[PRQWKVWRWKUHH\HDUV (LVLNRYLWV (GOHVRQ
5RVHQIHOG7ROPDQ %HQQHW 2QHODUJHVFDOHHYDOXDWLRQIRXQGSURJUDPFRPSOHWHUVWREHWZRWKLUGVOHVV
OLNHO\ WR SK\VLFDOO\ UHDVVDXOW WKHLU SDUWQHUV WKDQ WKRVH ZKR GURS RXW HYHQ FRQWUROOLQJ IRU GHPRJUDSKLF DQG EHKDYLRUDO
IDFWRUVWKDWPLJKWRWKHUZLVHH[SODLQWKLVGLIIHUHQFH *RQGROI ,QWHUYHQWLRQDOVRLQKLELWVUHQHZHGDFWVRIQRQSK\VLFDO
DEXVHE\SDUWLFLSDQWVDOWKRXJKQRQSK\VLFDOIRUPVRIDEXVHDUHSUHYDOHQWDPRQJSURJUDPFRPSOHWHUV HJSHUFHQW
RIPHQDUHYHUEDOO\DEXVLYHPRQWKVDIWHUFRPSOHWLQJDSURJUDP DQGWHQGWRLQFUHDVHLQWKH\HDUVIROORZLQJSURJUDP
FRPSOHWLRQ *RQGROI 

5RWKPDQHWDO ,QWHUQDWLRQDOUHYLHZ

7KLVPHWDDQDO\WLFHYDOXDWLRQUHYLHZH[DPLQHGWKHILQGLQJVRI86VWXGLHVRIWKHHIILFDF\RIGRPHVWLFYLROHQFHWUHDWPHQW
IRUPHQ7KHRXWFRPHOLWHUDWXUHRIFRQWUROOHGTXDVLH[SHULPHQWDODQGH[SHULPHQWDOVWXGLHVZDVUHYLHZHGWRDVVHVVWKH
UHODWLYHLPSDFWRIWKH'XOXWKPRGHO&%7DQGRWKHUWUHDWPHQWW\SHVRQUHFLGLYLVP5HVXOWVVKRZHGOLWWOHGLIIHUHQFHEHWZHHQ
&%7DQG'XOXWK0RGHOHIIHFWV2YHUDOOHIIHFWVGXHWRWUHDWPHQWZHUHVPDOOPHDQLQJWKDWFXUUHQWLQWHUYHQWLRQVKDYHD
PLQLPDOLPSDFWRQUHGXFLQJUHFLGLYLVP7KHDXWKRUVQRWHKRZHYHUWKDWVRPHSHRSOHDUHDEOHWRGUDPDWLFDOO\WUDQVIRUP
WKHLU OLYHV IROORZLQJ VXEVWDQFH DEXVH RU EDWWHULQJ LQWHUYHQWLRQV 5HVXOWV VKRZLQJ OLWWOH HIIHFW RI WUHDWPHQW RQ YLROHQFH
DEVWLQHQFHGRQRWLPSO\WKDWZHVKRXOGDEDQGRQRXUFXUUHQWLQWHUYHQWLRQSURJUDPV3URPLVLQJGLUHFWLRQVIRULQFUHDVLQJ
WUHDWPHQWHIILFDF\LQFOXGHWDUJHWLQJWUHDWPHQWVWRVSHFLILFVXEVDPSOHVVXFKDVGLIIHUHQWHWKQLFPLQRULW\JURXSVEDWWHUHUV
ZKR DUH FKHPLFDOO\ GHSHQGHQW EDWWHUHUV DW GLIIHUHQW PRWLYDWLRQDO VWDJHV GLIIHUHQW W\SHV RI EDWWHUHUV HJ IDPLO\RQO\
ERUGHUOLQHDQGDQWLVRFLDOJHQHUDOO\YLROHQWW\SHV 3UDFWLWLRQHUVVKRXOGGHYHORSDOWHUQDWLYHWHFKQLTXHVDQGFROODERUDWHZLWK
UHVHDUFKHUVWRHYDOXDWHHIILFDF\DQGGHYHORSHYLGHQFHEDVHGSUDFWLFHV5HVHDUFKHUVQHHGWRDOVREHFRPHDZDUHRIDQG
DQDO\]HFRRUGLQDWHGFRPPXQLW\UHVSRQVHV &&5 WRGRPHVWLFYLROHQFH7UHDWPHQWSURJUDPVDUHMXVWRQHFRPSRQHQWRID
&&5SROLFHUHVSRQVHSURVHFXWLRQDQGSUREDWLRQFDQDOVRDIIHFWUHFLGLYLVP

%DEFRFN*UHHQ 5RELH 86

22
0RUULVRQHWDOUHYLHZHG1RUWK$PHULFDQHYDOXDWLRQVWXGLHVDQGRIWKRVHFRQVLGHUHGULJRURXVDQGRUZKLFKUHOLHGRQ
YLFWLPVUHSRUWV IHZHUWKDQ SHUFHQWZHUHIRXQGWRKDYHDSRVLWLYHHIIHFW2IDOORIWKHVWXGLHVRQHVKRZHGDQHJDWLYH
HIIHFW WZRWKLUGV VKRZHG D SRVLWLYH HIIHFW DQG WZR VKRZHG QR HIIHFW FULWHULD IRU VKRZLQJ D |SRVLWLYH HIIHFW} LQFOXGHG
GHPRQVWUDWLQJDWOHDVWRQHSRVLWLYHHIIHFWDQGQRQHJDWLYHHIIHFWV 

0RUULVRQHWDO 1RUWK$PHULFD

7KH&DQDGLDQ7DVN)RUFHRQ3UHYHQWLYH+HDOWK&DUHUHYLHZHGHYDOXDWLRQVWXGLHVIURP&DQDGDDQGIRXQGFRQIOLFWLQJ
HYLGHQFHLQVXIILFLHQWWRUHFRPPHQGSURJUDPV

:DWKHQ 0DF0LOODQDE &DQDGD

7KHDXWKRUVUHYLHZHGIRXUH[SHULPHQWDODQGVL[TXDVLH[SHULPHQWDOVWXGLHVRIFRXUWPDQGDWHGLQWHUYHQWLRQVLQWKH86
4XDVLH[SHULPHQWDO VWXGLHV WKDW KDG D QRWUHDWPHQW FRPSDULVRQ KDG LQFRQVLVWHQW ILQGLQJV LQGLFDWLQJ DQ RYHUDOO VPDOO
KDUPIXOHIIHFW4XDVLH[SHULPHQWDOVWXGLHVXVLQJDGHVLJQWKDWDFFRXQWVIRUWUHDWPHQWGURSRXWVKRZHGDODUJHSRVLWLYH
PHDQHIIHFWRQGRPHVWLFYLROHQFHRXWFRPHV7KH\IRXQGDPRGHUDWHHIIHFWZKHQXVLQJRIILFLDOUHSRUWVDQGDOPRVWQRHIIHFW
ZKHQXVLQJYLFWLPUHSRUWVVLPLODUWRZKDWRWKHUPHWDDQDO\VHVKDYHIRXQG

)HGHU :LOVRQ 86

$UHYLHZRIWKHHYLGHQFHEDVHGOLWHUDWXUHRI30,39 DPRQJYLFWLPVHUYLFHVDQGRWKHUV IRFXVHGRQULVNIDFWRUVIRU,39UH


DEXVHLQWKH86,WVXUYH\HGOLWHUDWXUHLQWKHDUHDVRIEDWWHUHUWUHDWPHQWHIIHFWLYHQHVVWKHHIIHFWLYHQHVVRIFULPLQDODQGFLYLO
FRXUWUHPHGLHVWKHHYDOXDWLRQRIYLFWLPVHUYLFHVDQGWKHFRXUVHRIYLROHQWUHODWLRQVKLSVRYHUWLPHDEVHQWDQ\LQWHUYHQWLRQ
7KHDUWLFOHFRQFOXGHGWKDWZKLOHRIILFLDOUHSRUWVLQGLFDWHGSRVLWLYHHIIHFWVRQYLROHQFHFHVVDWLRQYLFWLPUHSRUWVGRQRWWKDW
WUDLWVDQGFLUFXPVWDQFHVRIPHQZKRKDYHXVHGYLROHQFHVHHPWRLQWHUDFWZLWKWKHWUHDWPHQWW\SHDQGWKDWZRPHQDUH
DFFXUDWHLQSUHGLFWLQJWKHLUULVNUHJDUGOHVVRIZKHWKHULWLVDVVHVVHGLQFORVHWHPSRUDOSUR[LPLW\WRDQDEXVHHSLVRGH7KH
FRQFOXVLRQVZHUHEDVHGRQVPDOOVDPSOHV

&DWWDQHR *RRGPDQ 86

,Q3URJUDPD&RQWH[WR 8QLYHUVLW\RI9DOHQFLD 6SDQLVKSUDFWLWLRQHUVSUHVHQWHGZRUNGRQHLQWKHILHOGVRIUHVHDUFKDQG


WUDLQLQJDVZHOODVLQWHUYHQWLRQIRUWKRVHFRQYLFWHGRIGRPHVWLFYLROHQFHIROORZLQJWKHSDVVLQJRI6SDLQV*%9ODZ /H\
2UJQLFD 7KHDXWKRUVGHVFULEHWKHSURJUDPVPDLQFKDUDFWHULVWLFVDQGJXLGHOLQHVIRULQWHUYHQWLRQLQFRQMXQFWLRQ
ZLWKLWVVWUXFWXUHDQGGLIIHUHQWSKDVHVWKHWUDLQLQJSURYLGHGDQGWKHWUDLQLQJDFWLYLWLHVGHYHORSHGE\WKHWHDPPHPEHUVDQG
WKHPDLQOLQHVRIUHVHDUFKJXLGLQJWKHZRUNRIWKHSURJUDPWHDPDQGWKHLUSUHOLPLQDU\UHVXOWV7KRXJKLWLVQRWDQHYDOXDWLRQ
UHYLHZWKHDUWLFOHSURYLGHVH[DPSOHVRISURJUDPDSSURDFKHVDQGUHVHDUFKLQWHUYHQWLRQDQGWUDLQLQJ

/LODHWDO 6SDLQ

23
VIII. ANNEX B 0XOOHQGHUDQG%XUWRQ  SURYLGHWKHIROORZLQJ
UHFRPPHQGDWLRQV IRU SURWHFWLRQ RI ZRPHQ LQ WKH
7KLV DQQH[ SURYLGHV JXLGDQFH DERXW SULRULWL]LQJ HWKLFDO FRQWH[WRI30,39
VWDQGDUGVDQGWKHVDIHW\DQGZHOOEHLQJRIZRPHQDQG
FKLOGUHQWKURXJKRXW30,39ZKLFKDUHDPRQJ0HQ(QJDJHV f LQIRUP WKH ZRPDQ ZKHQ KHU SDUWQHU RU H[
FRQGLWLRQVQHFHVVDU\IRUHIIHFWLYHSURJUDPV SDUWQHUVWDUWVDSURJUDP
f NHHSKHULQIRUPHGRIKLVDWWHQGDQFHSDUWLFXODUO\
f 2QH ZD\ RI SURPRWLQJ WKH SULQFLSOH RI ~'R QR KDUP LI KH GURSV RXW RU LV DVNHG WR OHDYH EHIRUH
FRPSOHWLRQ
VHH$QGHUVRQ LVWRFRQGXFWFRQIOLFWVHQVLWLYLW\
f ZDUQKHULIWKH\EHOLHYHVKHLVLQDQ\GDQJHU
DQDO\VHV PDSSLQJ LQ WZR FROXPQV   GLYLGHUV DQG
f FKHFN ZLWK KHU SHULRGLFDOO\ DERXW KHU VDIHW\
WHQVLRQV DIIHFWLQJ WKH SURJUDP DQG   FRQQHFWRUV RU
LHYLDULVNDVVHVVPHQWV 
~FDSDFLWLHVIRUSHDFHZRUNLQJLQIDYRURISURJUDPVWKDW
f LQIRUPKHUDERXWWKHSURJUDPDQGDERXWZD\V
DLP WR HQG YLROHQFH 7KHVH FRXOG LQFOXGH UHODWLRQVKLS
LQ ZKLFK WKH PDQ PD\ XVH LW DJDLQVW KHU WR
G\QDPLFV SRVLWLYH DQG QHJDWLYH  VHUYLFHV RU RWKHU
UHLQWHUSUHWKHUEHKDYLRU
H[WHUQDO IDFWRUV 7KH ILQDO VWHS ZRXOG EH WR LGHQWLI\
f WHOOKHUDERXWRWKHUDJHQFLHVDQGFULVLVVHUYLFHV
KRZ WKH SURJUDP LQIOXHQFHV SRVLWLYHO\ RU QHJDWLYHO\
RSHQWRKHU
SDUWLFLSDQWVVWDIISDUWQHUVDQGRWKHUV
f PDNHKHUDZDUHRIWKHGHJUHHRIFKDQJHVKH
FDQUHDOLVWLFDOO\H[SHFWDQGHQVXUHWKDWVKHLV
f &RQIOLFWVHQVLWLYLW\DQDO\VHVVKRXOGLQFOXGHDVVHVVPHQWV
QHYHUJLYHQIDOVHKRSH
RIWKHMXVWLFHV\VWHPDQGZLGHUVWUXFWXUHVLQWHUPV
f RIIHUKHUFRQILGHQWLDOFRQWDFWDWDQ\WLPH
RI SRWHQWLDO ULVN WR ZRPHQ FKLOGUHQ DQG RWKHU
f WDNHDEHOLHYLQJDSSURDFKWRZDUGVKHU
IDPLO\PHPEHUV,WLQFOXGHVXQGHUVWDQGLQJUHIHUUDODQG
f UHVSHFWKHUFRQILGHQWLDOLW\DQG
SURWHFWLYH PHFKDQLVPV DV ZHOO DV MXGJHV DQG OHJDO
f GRQRWJXDUDQWHHFRPSOHWHFRQILGHQWLDOLW\WRWKH
VWDIIVNQRZOHGJHDQGDWWLWXGHVVXUURXQGLQJ30,39,Q
PDQZKRKDVXVHGYLROHQFHRUDQ\RQHHOVHLI
1LFDUDJXDDQG%UD]LOSUDFWLWLRQHUVGHVFULEHGSUHVVXUHV
WKLVZRXOGSODFHWKHZRPDQDWULVN
WKDWOHDGZRPHQWRUHWUDFWWKHLUFKDUJHV{ILQDQFLDORU
HPRWLRQDOGHSHQGHQFHRQWKHPDQGLVWUXVWRIRUF\QLFLVP
DERXWWKHMXVWLFHV\VWHPDQGQRWZDQWLQJWRH[SRVHKLP
WRLQFDUFHUDWLRQDQGLWVUHODWHGULVNV,Q1LFDUDJXDZKHQ
ZRPHQFKDUJHWKHLUSDUWQHUZLWK,39WKH\DUHJLYHQDQ ,QVDIHW\SODQQLQJDQDEXVHUVDFFHVVWRDJXQWKUHDWV
RUGHUDQGWROGWRJLYHWKDWRUGHUWRWKHLUSDUWQHU%HFDXVH ZLWKDZHDSRQRUWKUHDWVWRNLOOVKRXOGEHDVVHVVHGDQG
RIWKLVWKH1LFDUDJXDQSUDFWLWLRQHUVWUHVVHGWKHQHHGIRU WDNHQH[WUHPHO\VHULRXVO\ &DPSEHOOHWDO 
SHUVRQQHOWKURXJKRXWWKHMXVWLFHV\VWHPZKRDUHDEOHWR
DGGUHVV,39ZLWKVHQVLWLYLW\ f ,GHQWLI\ VRXUFHV DQG OHYHOV RI ULVN WR ZRPHQ DQG
SURYLGH RQJRLQJ VXSSRUW 6WHSV VXFK DV WKHVH DUH
f $VVHVVULVNWRZRPHQRIDUPHGGRPHVWLFYLROHQFH YLWDO5(63(&7IRULQVWDQFHSURYLGHVLQVWUXFWLRQVIRUD
DQG SDUWQHU KRPLFLGH $V SDUW RI DVVHVVLQJ ULVN WKH ZRPDQYLFWLPRQUHPRYLQJ,QWHUQHWWUDFNVWRSUHYHQWKHU
'DQJHU $VVHVVPHQW ,QVWUXPHQW &DPSEHOO   DEXVHUIURPVHHLQJWKDWVKHVRXJKWKHOS2IWHQDWWHQWLRQ
VFUHHQV IRU WKH ULVN RI DUPHG GRPHVWLF YLROHQFH DQG LVUHPRYHGIURPWKHPDQRQFHWKHZRPDQLVVKHOWHUHG
KRPLFLGH$SSOLFDWLRQRIWKLVWRROKDVVKRZQWKDWZRPHQ EXWSUDFWLWLRQHUVDQGUHVHDUFKHUVUHDIILUPHGWKDWPHDQ
LQWKH86ZKRZHUHWKUHDWHQHGRUDVVDXOWHGZLWKDJXQ WUDFN GRZQ WKHLU SDUWQHUV 7RGG LQWHUYLHZ DQG RWKHUV
RU RWKHU ZHDSRQ ZHUH  WLPHV PRUH OLNHO\ WKDQ RWKHU  $FFRUGLQJWR0LOOVHWDO  DVVHVVPHQWWRROV
ZRPHQWREHPXUGHUHG &DPSEHOOHWDO ,QWKH PD\ KHOS JXLGH SURIHVVLRQDOV EXW VKRXOG QRW EH WKH
86ZRPHQDUHNLOOHGE\LQWLPDWHSDUWQHUV{KXVEDQGV RQO\PHDVXUHVXVHGWRJDXJHWKHOLNHOLKRRGRIYLROHQFH
ORYHUVH[KXVEDQGVRUH[ORYHUV{PRUHRIWHQWKDQE\ RU LWV PDJQLWXGH 3URJUDPV PXVW SURYLGH RQJRLQJ ULVN
DQ\RWKHUFDWHJRU\RINLOOHU 0HUF\HWDO%DLOH\HW DVVHVVPHQWDQGFDVHPDQDJHPHQWVXSSRUWIRUWKHPDQ
DO%DFKPDQHWDOLQ&DPSEHOOHWDO  ZKRKDVXVHGYLROHQFHDQGIRUWKHVXUYLYRU

24
FROOHDJXHV   SRLQW RXW WKDW LQ SUDFWLFH |PRVW
f :KHUH DSSURSULDWH VXSSRUW SURWHFWLRQ RUGHUV EDWWHUHU LQWHUYHQWLRQ SURJUDPV DQG SUREDWLRQ VHUYLFHV
IRU KLJKULVN FDVHV ([DPSOHV ZHUH JLYHQ RI ZKHQ KDYH LQFRQVLVWHQW FRQWDFW ZLWK YLFWLPV DQG RIWHQ UHO\
DGGLWLRQDOPHDVXUHVZHUHQHHGHGDPDQSDUWLFLSDWLQJ RQ D RQHWLPH FRQWDFW 5DUHO\ GR WKH\ FRQGXFW PRUH
LQ D 30,39 ZDLWHG IRU KLV SDUWQHU RXWVLGH RI D JURXS FRPSUHKHQVLYH VDIHW\ DVVHVVPHQWV} 0LOOV HW DO
IRUZRPHQVXUYLYRUV 1LFDUDJXD RWKHUPHQKDYHFRPH  6DIHW\ULVNDVVHVVPHQWVPXVWEHV\VWHPDWLF
ZLWKRXWDQDSSRLQWPHQWWRDZRPHQVVKHOWHUFDXVLQJWKH DQGRQJRLQJ5XWJHUV:3)VPRQLWRULQJDQGHYDOXDWLRQ
VKHOWHUVWDIIWRFDOOWKHSROLFH +RQGXUDV (DFKSURJUDP WRROV LQFOXGH EHKDYLRU PRQLWRULQJ EHLQJ DWWHQWLYH WR
VKRXOG GHYHORS SURFHGXUHV IRU UHVSRQGLQJ WR KLJKULVN LQGLFDWRUVRIFKDQJHXVLQJGDLO\HYDOXDWLRQIRUPVDQG
FDVHV DV DSSURSULDWH WR WKH FRQWH[W ,Q VRPH VHWWLQJV VXSHUYLVLRQFDVHSUHVHQWDWLRQ
SULPDULO\LQWKH*OREDO1RUWK WKLVHQWDLOVFRRUGLQDWLQJ
ZLWK WKH ODZ HQIRUFHPHQW RU MXVWLFH V\VWHP DURXQG f ,QYROYH ZRPHQ VXUYLYRUV LQ GHVLJQLQJ WKHLU RZQ
LVVXLQJ DQG HQIRUFLQJ SURWHFWLRQ RUGHUV ,QHYLWDEO\ WKH VDIHW\SODQV7KHLUSUR[LPLW\WRWKHPDQZKRKDVXVHG
FDSDFLW\ RI SROLFH WR DGGUHVV ,39 SUDFWLFHV DURXQG YLROHQFH DQG WKHLU H[SHULHQFH ZLWK SDVW LQFLGHQWV SXW
SURWHFWLRQRUGHUVLQDFRXQWU\DQGZRPHQVGHJUHHRI ZRPHQLQDXQLTXHSRVLWLRQWRDVVHVVHVFDODWLQJGDQJHU
WUXVW LQ SROLFH ZLOO DOO DIIHFW WKH HIIHFWLYHQHVV RI SROLFH DQGSDUWLFLSDWHLQFUHDWLQJDPRUHFRPSUHKHQVLYHSODQ
UHVSRQVHVWRKLJKULVNHYHQWVDQG,39 'DYLHV HW DO   $ VXUYLYRUV DVVHVVPHQW RI KHU
VDIHW\KDVEHHQVKRZQWREHDQDFFXUDWHSUHGLFWLRQRI
f &DUHIXOO\ DVVHVV ZKHWKHU FRQWDFW VKRXOG EH PDGH IXWXUHYLROHQFH 0LOOVHWDO 
EHWZHHQ WKH VXUYLYRUYLFWLP DQG KHU SDUWQHU KRZ
LWFRQWDFWVKRXOGEHPDGHZKHUHDQGDWZKLFKSRLQWV
WKURXJKRXW30,39 LIDQ\ |9LFWLPOLDLVRQV}VXSSRUWDQG Additional Recommendations from
DUH SUHVHQW GXULQJ WKHVH SRLQWV RI FRQWDFW LQ WKH 86
DQGVHYHUDORWKHUFRXQWULHV Interviews with Providers of Services
for Women Survivors of Violence:
f 8VH FOLHQW FRQWUDFWV ZLWK SURJUDP SDUWLFLSDQWV
DQG IDFLOLWDWRUV WR VHW VWDQGDUGV DQG HVWDEOLVK f ([FKDQJH LQIRUPDWLRQ EHWZHHQ FRXQVHORUV RI PHQV
OLPLWHG FRQILGHQWLDOLW\ EHIRUH LQWHUYHQWLRQV EHJLQ DQG ZRPHQV JURXSV VXFK DV E\ KDYLQJ D IHPDOH
&RQWUDFWV PD\ LQFOXGH D SURIHVVLRQDO FRGH RI FRQGXFW FRXQVHORUVLWLQRQDPHQVJURXSZLWKWKHSDUWLFLSDQWV
IRUIDFLOLWDWRUVFRXQVHORUVDFOLHQWFRQWUDFWDQGDOLPLWHG SHUPLVVLRQ WR EHWWHU XQGHUVWDQG WKHLU H[SHULHQFHV ,Q
FRQILGHQWLDOLW\ SROLF\ 7KH FOLHQW FRQWUDFW HQWDLOV PHQ 9LHWQDPNQRZLQJDZRPHQVJURXSDQGDPHQVJURXS
DWWHVWLQJDQGVLJQLQJWKDWWKH\ZLOOHQJDJHLQQRYLROHQW H[LVWHG LQ WKH VDPH SURYLQFH IRU H[DPSOH SURYLGHG D
EHKDYLRU ZKLOH SDUWLFLSDWLQJ LQ WKH SURJUDP { WRZDUG EDVLVIRUHDFKJURXSWRGLVFXVVZLWKWKHRWKHUDQGWKXV
SDUWQHUVDQGFKLOGUHQEXWDOVRWRZDUGDQ\RQHWKH\FRPH VWUHQJWKHQHDFK
LQWR FRQWDFW ZLWK 5XWJHUV :3) D  3UDFWLWLRQHUV
LQWHUYLHZHG DJUHHG WKDW FRQILGHQWLDOLW\ PXVW EH EURNHQ f &RQGXFW KRPH YLVLWV WR HQVXUH VDIHW\ HQKDQFH
LIDPDQLVSXWWLQJKLPVHOIKLVSDUWQHURURWKHUVDWULVN DFFRXQWDELOLW\ DQG DVVHVV WKH ZHOOEHLQJ RI FRXSOHV
7KHWHUPVRIFRQILGHQWLDOLW\VKRXOGEHPDGHH[SOLFLWDQG ZLWKLQWKHLUHQYLURQPHQW
LQDZD\WKDWIRVWHUVWUXVWZLWKLQDJURXS .HOO\$PDGR
LQWHUYLHZV  f 0DLQWDLQFHQWUDOGLVFXVVLRQVRIWKHSRZHUPHQSRVVHVV
DQGWKHVRFLDOL]DWLRQRIPHQ$VWKH+RQGXUDQSUDFWLWLRQHU
f ,QFRUSRUDWH ULVN DVVHVVPHQW DQG HWKLFV LQWR GHVFULEHG WKLV GHFRQVWUXFWLQJ VXEVHTXHQWO\ FRXOG
PRQLWRULQJ DQG HYDOXDWLRQ (YHQ LI WKH\ UHFRJQL]H SURYLGHURRPIRUFRQVWUXFWLQJQHZSRVLWLYHFRQFHSWLRQV
WKH QHHG IRU ZRPHQV DQG FKLOGUHQV VDIHW\ 0LOOV DQG RIZKDWSRZHUDQGVKDUHGSRZHUFRXOGPHDQ


3UDFWLWLRQHUVZRUNLQJZLWKERWKZRPHQVDQGPHQVLQWHUYHQWLRQVFRQYH\HGVLPLODULGHDVLQWHUPVRI|VWDUWLQJSRLQWV}RUEURDFKLQJWKHFRQYHUVDWLRQZLWKPHQZKR
KDYHXVHG,39EHJLQE\DVNLQJPHQZKDWWKH\ZDQWLQUHODWLRQVKLSVDQGE\DVNLQJWKHPDERXWWKHLURZQFKLOGKRRGVIDPLOLHVDQGSHUVRQDOKLVWRULHV$SUDFWLWLRQHU
ZRUNLQJZLWK/DWLQRPHQLQWKH86DQGWKHZRPHQVRUJDQL]DWLRQLQ6RXWK$IULFDGHVFULEHGWKDWZKHQDVNLQJPHQDERXWZKDWWKH\ZLVKHGIRULQDUHODWLRQVKLSWKH\
RIWHQUHVSRQGHGZLWKGHVLUHVVXFKDVORYHSHDFHRUVWDELOLW\LQWKHKRPH7KHTXHVWLRQWKHQEHFDPHKRZWRJHWWKHUHZKLFKUHTXLUHGPHQWRJLYHXSSRZHUWKDWWKH\
ZHUHWDNLQJIURPWKHLUIHPDOHSDUWQHUV $UHDQLQWHUYLHZ 
25
f 5HFRPPHQGDWLRQV VLPLODU WR WKRVH VKDUHG E\ LQ RUGHU WR HOLFLW DQG IRVWHU VXSSRUW IURP WKHP DQG
SUDFWLWLRQHUV RI PHQV JURXSV LQFOXGHG WR GHYHORS XOWLPDWHO\KDQGWKHZRUNRI30,39RYHUWRWKHP
VDIHW\ VWDQGDUGV DQG KROG PHQ UHVSRQVLEOH WR UDLVH
DZDUHQHVVRIDQGLQFUHDVHFDSDFLW\WRDGGUHVVGRPHVWLF
YLROHQFH SDUWLFXODUO\ ZLWKLQ WKH MXVWLFH V\VWHP DQG Suggested Citation
DPRQJ KHDOWKFDUH ZRUNHUV DQG WR GHYHORS SUHYHQWLRQ
SURJUDPPLQJIRUER\VDQGPDOH\RXWK 7D\ORU$ %DUNHU*  3URJUDPVIRUPHQZKRKDYH
XVHGYLROHQFHDJDLQVWZRPHQ5HFRPPHQGDWLRQVIRUDFWLRQ
DQGFDXWLRQ5LRGH-DQHLUR%UD]LO,QVWLWXWR3URPXQGR 
f :RUN ZLWK ORFDO OHDGHUV DQG DXWKRULWLHV WR HVWDEOLVK
:DVKLQJWRQ'&863URPXQGR86
VWURQJ SDUWQHUVKLSV HVSHFLDOO\ LQ PRUH UHPRWH DUHDV 

MenEngage
0HQ(QJDJH LVDJOREDODOOLDQFHRI1*2VDQG81DJHQFLHV WKDWVHHNV WRHQJDJHER\VDQGPHQWRDFKLHYH
JHQGHU HTXDOLW\ 0HQ(QJDJH KDV D JOREDO VWHHULQJ FRPPLWWHH ZLWK UHSUHVHQWDWLRQ IURP DOO RYHU WKH ZRUOG
DQG GLIIHUHQW UHJLRQDO QHWZRUNV LQ 6XE6DKDUDQ $IULFD /DWLQ $PHULFD DQG WKH &DULEEHDQ 1RUWK $PHULFD
6RXWK$VLDDQG(XURSH7KHFRDOLWLRQEHOLHYHVLQZRUNLQJZLWKER\VDQGPHQIURPDSRVLWLYHSHUVSHFWLYHDQG
HQFRXUDJLQJWKHPWREHIXOOSDUWQHUVLQIRVWHULQJDZRUOGZKHUHSHDFHLVSRVVLEOHYLROHQFHLVUHGXFHGDQG
HTXDOLW\LVDFKLHYHG

MenCare+
,Q%UD]LO,QGRQHVLD5ZDQGDDQG6RXWK$IULFD0HQ&DUHSDUWQHUVDUHZRUNLQJZLWKWKHSXEOLFKHDOWKV\VWHP
WRLPSOHPHQWFRXQVHOLQJJURXSWKHUDS\ZLWKPHQZKRKDYHXVHGYLROHQFH7KHVHLQWHUYHQWLRQVDUHSDUWRID
SURJUDPZLWKVL[FRPSRQHQWV

f *URXSHGXFDWLRQZLWK\RXQJPHQRQVH[XDODQGUHSURGXFWLYHKHDOWKULJKWV 65+5 JHQGHUHTXDOLW\DQG


FDUHJLYLQJ
f *URXS HGXFDWLRQ ZLWK IDWKHUV DQG WKHLU SDUWQHUV RQ 65+5PDWHUQDO KHDOWK 0+ JHQGHU HTXDOLW\ DQG
FDUHJLYLQJ
f &RXQVHOLQJJURXSWKHUDS\ZLWKPHQZKRKDYHXVHGYLROHQFH
f :RUNVKRSVZLWKKHDOWKVHFWRUZRUNHUVRQWKHLPSRUWDQFHRIHQJDJLQJPHQLQ65+5DQG0+VHUYLFHV
f 0HQ&DUH&RPPXQLW\FDPSDLJQVIRFXVHGRQUDLVLQJEURDGHUOHYHODZDUHQHVVRIPHQVUROHVLQIDWKHUKRRG
DQGFDUHJLYLQJ
f $GYRFDF\DQGDOOLDQFHEXLOGLQJZLWKRUJDQL]DWLRQVJRYHUQPHQWZKRDUHZRUNLQJRQWKHVHLVVXHV

7KH0HQ&DUHPRGHOFRUUHVSRQGVWRDNH\ILQGLQJWKDWHPHUJHGIURPWKLVEULHILQJSDSHUWRLQFOXGHLQWHUYHQWLRQV
DVSDUWRIDQLQWHJUDWHGVHWRIVHUYLFHVDQGDSSURDFKHVLQWKHFRQWH[WRIDFRRUGLQDWHGFRPPXQLW\UHVSRQVH
IRUHQGLQJLQWLPDWHSDUWQHUYLROHQFH3URPXQGR5XWJHUV:3)DQGRWKHUSDUWQHUVDUHGHYHORSLQJDQGWHVWLQJ
HYLGHQFHEDVHGDSSURDFKHVWRWKHSUHSDUDWLRQRISXEOLFKHDOWKV\VWHPVIRUWKHLQFRUSRUDWLRQRI0HQ&DUH
LQLWLDWLYHVLQWRWKHLUVHUYLFHVLQWKHQH[WWKUHH\HDUV7KHVHVHUYLFHVLQFOXGHSULPDU\SUHYHQWLRQDQGUHIHUUDOV
IRU OHJDO DQG SV\FKRVRFLDO VXSSRUW IRU ZRPHQ DQG FKLOGUHQ ZKR KDYH H[SHULHQFHG RU DUH H[SHULHQFLQJ
YLROHQFH7KHSURJUDPLVVXSSRUWHGE\WKH0LQLVWU\RI)RUHLJQ$IIDLUVRIWKH1HWKHUODQGV

26
Promundo-US Promundo-Brazil

&RQQHFWLFXW$YHQXH1: 5XD0[LFRVDOD
6XLWH &HQWUR5LRGH-DQHLUR5-%UDVLO
:DVKLQJWRQ'&86$ &HS
ZZZSURPXQGRRUJEUHQ ZZZSURPXQGRRUJEU

Rutgers WPF MenEngage

2XGHQRRUG &RQQHFWLFXW$YHQXH1:
(98WUHFKW 6XLWH
7KH1HWKHUODQGV :DVKLQJWRQ'&86$
ZZZUXWJHUVZSIRUJ ZZZPHQHQJDJHRUJ

You might also like