297 as the success of directv demonstrates, a company can

297
As the success of DirecTV demonstrates, a company can
reap the benefits of carving out a unique position in the market-
place. Creating a compelling, well-differentiated brand position
requires a keen understanding of consumer needs and wants,
company capabilities, and competitive actions. It also requires
disciplined but creative thinking. In this chapter, we outline a
process by which marketers can uncover the most powerful
brand positioning.
No company can win if its products and services resemble every
other product and
offering. As part of the strategic brand management process,
each offering must represent the right kinds of
things in the minds of the target market. Consider how DirecTV
has positioned itself.1
Crafting the Brand
Positioning
10
Launched a little more than two decades ago, DirecTV now has
more than 32 million subscribers in
the United States and Latin America. The direct-broadcast
satellite service provider faces competition
on a number of fronts: from classic cable companies (Comcast
and TimeWarner Cable), from other
direct broadcast satellite service providers (Dish), and from
alternate ways to watch television digitally
through downloads and streaming (Hulu, Netflix, and Amazon).

The world’s leading provider of digital
television entertainment services, DirecTV carries the slogan
“Don’t Just Watch TV, DirecTV,” reflecting the unique po-
sitioning it has crafted thanks to a combination of features not
easily matched by any competitor. Three pillars of that
positioning are captured by its claims to “state-of-the-art
technology, unmatched programming, and industry leading
customer service.” The company puts much emphasis on its
comprehensive set of sports packages, its wide array
of HD channels, and its broad broadcast platform that lets
customers
watch programming on their TVs at home and on their laptops,
tablets,
and cell phones. With its Genie service, users can record as
many as
five shows at once. In exaggerated fashion, its “Get Rid of
Cable” TV
ad campaign shows how customers who get mad at cable have
their
lives turn for the worse through a series of unfortunate events.
DirecTV
has made a strategic targeting shift to focus on “high quality”
subscrib-
ers: loyal customers who purchase premium services, pay their
bills on
time, and call less often to complain.
Developing a Brand Positioning
All marketing strategy is built on segmentation, targeting, and
positioning (STP). A company discovers differ-
ent needs and groups of consumers in the marketplace, targets
those it can satisfy in a superior way, and then
positions its offerings so the target market recognizes its
distinctive offerings and images. By building customer
advantages, companies can deliver high customer value and

satisfaction, which lead to high repeat purchases and
ultimately to high company profitability.
UnderstandInG PosItIonInG and ValUe ProPosItIons
is the act of designing a company’s offering and image to
occupy a distinctive place in the minds of
the target market.2 The goal is to locate the brand in the minds
of consumers to maximize the potential benefit to
the firm. A good brand positioning helps guide marketing
strategy by clarifying the brand’s essence, identifying
the goals it helps the consumer achieve, and showing how it
does so in a unique way. Everyone in the organiza-
tion should understand the brand positioning and use it as
context for making decisions.
M10_KOTL2621_15_GE_C10.INDD 297 3/11/15 5:22 PM
298 PART 4 | BUILDING STRONG BRANDS
A useful measure of the effectiveness of the organization’s
positioning is the . If, in some
marketing activity—an ad campaign, a viral video, a new
product introduction—the brand were replaced by a
competitive brand, then that marketing activity should not work
as well in the marketplace. A well-positioned
brand should be distinctive in its meaning and execution. If a
sport or music sponsorship, for example, would work
as well if it were for a leading competitor, then either the
positioning is not sharply defined well enough or the
sponsorship as executed does not tie closely enough to the
brand positioning.
A good positioning has one foot in the present and one in the

future. It needs to be somewhat aspirational so
the brand has room to grow and improve. Positioning on the
basis of the current state of the market is not forward-
looking enough, but at the same time, the positioning cannot be
so removed from reality that it is essentially unob-
tainable. The real trick is to strike just the right balance
between what the brand is and what it could be.
One result of positioning is the successful creation of a
customer-focused a cogent reason
why the target market should buy a product or service. As
introduced in Chapter 1, a value proposition captures
the way a product or service’s key benefits provide value to
customers by satisfying their needs. Table 10.1 shows
how three companies—Hertz, Volvo, and Domino’s—have
defined their value proposition through the years with
their target customers.3
Positioning requires that marketers define and communicate
similarities and differences between their
brand and its competitors. Specifically, deciding on a
positioning requires: (1) choosing a frame of reference by
identifying the target market and relevant competition, (2)
identifying the optimal points-of-parity and points-
of-difference brand associations given that frame of reference,
and (3) creating a brand mantra summarizing
the positioning and essence of the brand.
Choosing a Competitive Frame
of Reference
The defines which other brands a brand competes with and
which should thus be
the focus of competitive analysis. Decisions about the
competitive frame of reference are closely linked to target
market decisions. Deciding to target a certain type of consumer
can define the nature of competition because cer-

tain firms have decided to target that segment in the past (or
plan to do so in the future) or because consumers in
that segment may already look to certain products or brands in
their purchase decisions.
IDENTIFYING COMPETITORS A good starting point in
defining a competitive frame of reference for
brand positioning is —the products or sets of products with
which a brand competes and
that function as close substitutes. It would seem a simple task
for a company to identify its competitors. PepsiCo
knows Coca-Cola’s Dasani is a major bottled-water competitor
for its Aquafina brand; Wells Fargo knows Bank of
America is a major banking competitor; and Petsmart.com
knows a major online retail competitor for pet food
and supplies is Petco.com.
The range of a company’s actual and potential competitors,
however, can be much broader than the obvious. To
enter new markets, a brand with growth intentions may need a
broader or maybe even a more aspirational com-
petitive frame. And it may be more likely to be hurt by
emerging competitors or new technologies than by current
competitors.
The energy-bar market created by PowerBar ultimately
fragmented into a variety of subcategories, including
those directed at specific segments (such as Luna bars for
women) and some possessing specific attributes (such
TABLE 10.1 Examples of Value Propositions
Company and Product Target Customers Value Proposition
Hertz (car rental) Busy professionals Fast, convenient way to
rent the right type

of a car at an airport
Volvo (station wagon) Safety-conscious upscale families The
safest, most durable wagon in which
your family can ride
Domino’s (pizza) Convenience-minded pizza lovers A delicious
hot pizza, delivered promptly to
your door
M10_KOTL2621_15_GE_C10.INDD 298 3/11/15 5:22 PM
CRAFTING THE BRAND POSITIONING | CHAPTER 10
299
as the protein-laden Balance and the calorie-control bar Pria).
Each represented a subcategory for
which the original PowerBar may not be as relevant.4
Firms should broaden their competitive frame to invoke more
advantageous comparisons.
Consider these examples:
service”—along with police, fire, and ambulance—to convey
greater credibility and urgency.
bridge.5
patriotic duty to the military as a place to learn leadership
skills—a much more rational than
emotional pitch that better competes with private industry.6
We can examine competition from both an industry and a
market point of view.7 An

is a group of firms offering a product or class of products that
are close substitutes for one another.
Marketers classify industries according to several different
factors, such as the number of sellers;
degree of product differentiation; presence or absence of entry,
mobility, and exit barriers; cost
structure; degree of vertical integration; and degree of
globalization.
as companies that satisfy the same customer
ability”—a need that can also be satisfied by pencils, pens, or,
in the past, typewriters. Marketers
industry terms.8 Coca-Cola, focused on its soft drink business,
missed seeing the market for coffee
bars and fresh-fruit-juice bars that eventually impinged on its
soft-drink business.
The market concept of competition reveals a broader set of
actual and potential competitors
than competition defined in just product category terms. Jeffrey
Rayport and Bernard Jaworski
suggest profiling a company’s direct and indirect competitors
by mapping the buyer’s steps in ob-
taining and using the product. This type of analysis highlights
both the opportunities and the chal-
lenges a company faces.9
ANALYZING COMPETITORS Chapter 2 described how to
conduct a SWOT analysis that includes a
competitive analysis. A company needs to gather information
about each competitor’s real and perceived strengths
and weaknesses.
Table 10.2 shows the results of a company survey that asked

customers to rate its three competitors, A, B, and C, on
five attributes. Competitor A turns out to be well known and
respected for producing high-quality products sold by a
good sales force, but poor at providing product availability and
technical assistance. Competitor B is good across the
board and excellent in product availability and sales force.
Competitor C rates poor to fair on most attributes. This result
suggests that in its positioning, the company could attack
Competitor A on product availability and technical assistance
and Competitor C on almost anything, but it should not attack
B, which has no glaring weaknesses. As part of this com-
petitive analysis for positioning, the firm should also ascertain
the strategies and objectives of its primary competitors.
The U.S. Armed Forces is putting more
emphasis on its opportunities for
leadership and career development
vs. patriotic appeals for serving.
So
ur
ce
: ©
R
G
B
Ve
nt
ur
es
L

LC
d
ba
S
up
er
St
oc
k/
A
la
m
y
The International Federation of
Poker is putting more emphasis
on the intellectual rewards from
playing poker vs. the thrill from
gambling.
So
ur
ce
: ©
B
le

nd
Im
ag
es
/A
la
m
y
M10_KOTL2621_15_GE_C10.INDD 299 3/11/15 5:22 PM
Once a company has identified its main competitors and their
strategies, it must ask: What is each competitor
seeking in the marketplace? What drives each competitor’s
behavior? Many factors shape a competitor’s objec-
tives, including size, history, current management, and financial
situation. If the competitor is a division of a
larger company, it’s important to know whether the parent
company is running it for growth or for profits, or
milking it.10
Finally, based on all this analysis, marketers must formally
define the competitive frame of reference to guide
positioning. In stable markets where little short-term change is
likely, it may be fairly easy to define one, two, or
perhaps three key competitors. In dynamic categories where
competition may exist or arise in a variety of different
forms, multiple frames of reference may be present, as we
discuss below.

IdentIfYInG PotentIal PoInts-of-dIfference
and PoInts-of-ParItY
Once marketers have fixed the competitive frame of reference
for positioning by defining the customer
target market and the nature of the competition, they can define
the appropriate points-of-difference and points-
of-parity associations.11
POINTS-OF-DIFFERENCE are attributes or benefits that
consumers strongly
associate with a brand, positively evaluate, and believe they
could not find to the same extent with a competitive
brand.
Associations that make up points-of-difference can be based on
virtually any type of attribute or benefit.12 Louis
Vuitton may seek a point-of-difference as having the most
stylish handbags, Energizer as having the longest-lasting
battery, and Fidelity Investments as offering the best financial
advice and planning.
Strong brands often have multiple points-of-difference. Some
examples are Apple ( and
), Nike ( and ), and Southwest Airlines (
and ).
Creating strong, favorable, and unique associations is a real
challenge, but an essential one for competitive
brand positioning. Although successfully positioning a new
product in a well-established market may seem par-
ticularly difficult, Method Products shows that it is not
impossible 13
MethOd PrOducts The brainchild of former high school buddies

Eric Ryan and Adam
Lowry, Method Products was started with the realization that
although cleaning and household products are sizable
categories by sales, taking up an entire supermarket aisle or
more, they are also incredibly boring ones. Method
launched a sleek, uncluttered dish soap container that also had a
functional advantage—the bottle, shaped like a
chess piece, was built to let soap flow out the bottom so users
would never have to turn it upside down. This signature
product, with its pleasant fragrance, was designed by award-
winning industrial designer Karim Rashid. Sustainability
also became part of the core of the brand, from sourcing and
labor practices to material reduction and the use of
nontoxic materials. By creating a line of unique eco-friendly,
biodegradable household cleaning products with bright
colors and sleek designs, Method grew to a $100 million
company in revenues. A big break came with the placement
of its product in Target, known for partnering with well-known
designers to produce standout products at affordable
TABLE 10.2 Customers’ Ratings of Competitors on Key
Success Factors
Customer
Awareness
Product
Quality
Product
Availability
Technical
Assistance Selling Staff
Competitor A E E P P G

Competitor B G G E G E
Competitor C F P G F F
Note: E = excellent, G = good, F = fair, P = poor.
M10_KOTL2621_15_GE_C10.INDD 300 3/11/15 5:22 PM
301
prices. Because of its limited advertising budget, the company
believes its attractive packaging and innovative products
must work harder to express the brand positioning. Social media
campaigns have been able to put some teeth into the
company’s “People Against Dirty” slogan and its desire to make
full disclosure of ingredients an industry requirement.
Method was acquired by Belgium-based Ecover in 2012; its
strong European distribution network will help launch the
brand overseas.
Three criteria determine whether a brand association can truly
function as a point-of-difference: desirability,
deliverability, and differentiability. Some key considerations
follow.
Consumers must see the brand association as personally
relevant to them. Select
Comfort made a splash in the mattress industry with its Sleep
Number beds, which allow consumers to adjust
the support and fit of the mattress for optimal comfort with a
simple numbering index. Consumers must also
be given a compelling reason to believe and an understandable

rationale for why the brand can deliver the
desired benefit. Mountain Dew may argue that it is more
energizing than other soft drinks and support this
claim by noting that it has a higher level of caffeine. Chanel
No. 5 perfume may claim to be the quintessen-
tially elegant French perfume and support this claim by noting
the long association between Chanel and haute
couture. Substantiators can also come in the form of patented,
branded ingredients, such as NIVEA Wrinkle
Control Crème with Q10 co-enzyme.
The company must have the internal resources and commitment
to feasibly
and profitably create and maintain the brand association in the
minds of consumers. The product design
and marketing offering must support the desired association.
Does communicating the desired association
require real changes to the product itself or just perceptual
shifts in the way the consumer thinks of the
product or brand? Creating the latter is typically easier. General
Motors has had to work to overcome pub-
lic perceptions that Cadillac is not a youthful, modern brand and
has done so through bold designs, solid
craftsmanship, and active, contemporary images.14 The ideal
brand association is preemptive, defensible,
and difficult to attack. It is generally easier for market leaders
such as ADM, Visa, and SAP to sustain their
positioning, based as it is on demonstrable product or service
performance, than it is for market leaders such
as Fendi, Prada, and Hermès, whose positioning is based on
fashion and is thus subject to the whims of a
more fickle market.
Finally, consumers must see the brand association as
distinctive and
superior to relevant competitors. Splenda sugar substitute

overtook Equal and Sweet’N Low to become the
leader in its category in 2003 by differentiating itself as a
product derived from sugar without the associated
Method cleaning products
has met with great
success from being
uniquely positioned on the
basis of sustainability
and attractive and
functional product
designs.
So
ur
ce
: M
et
ho
d
Pr
od
uc
ts
, P
BC
M10_KOTL2621_15_GE_C10.INDD 301 3/11/15 5:22 PM

drawbacks.15 In the crowded energy drink category, Monster
has become a nearly $2 billion brand and a
threat to category pioneer Red Bull by differentiating itself on
its innovative 16-ounce can and an extensive
line of products targeting nearly every need state related to
energy consumption.16
POINTS-OF-PARITY , on the other hand, are attribute or
benefit associations that
are not necessarily unique to the brand but may in fact be
shared with other brands.17 These types of associations
come in three basic forms: category, correlational, and
competitive.
are attributes or benefits that consumers view as essential to a
legitimate and credible
offering within a certain product or service category. In other
words, they represent necessary—but not sufficient—
conditions for brand choice. Consumers might not consider a
travel agency truly a travel agency unless it is able to
make air and hotel reservations, provide advice about leisure
packages, and offer various ticket payment and delivery
options. Category points-of-parity may change over time due to
technological advances, legal developments, or con-
are potentially negative associations that arise from the
existence of positive associa-
tions for the brand. One challenge for marketers is that many
attributes or benefits that make up their POPs or PODs
are inversely related. In other words, if your brand is good at
one thing, such as being inexpensive, consumers can’t see
make in their purchasing decisions can be informative here.

Below, we consider strategies to address these trade-offs.
are associations designed to overcome perceived weaknesses of
the brand in light
of competitors’ points-of-difference. One good way to uncover
key competitive points-of-parity is to role-play
competitors’ positioning and infer their intended points-of-
difference. Competitor’s PODs will, in turn, suggest the
brand’s POPs.
in those areas where it appears to be at a disadvantage achieve
advantages in other areas, the brand should
be in a strong—and perhaps unbeatable—competitive position.
Consider the introduction of Hyundai Motor
18
hyundai cars In recent years, Hyundai Motor Company has
succeeded in boosting its presence in
the world car market by setting up overseas production bases
and engaging in aggressive marketing. As South Korea’s larg-
est and the world’s fifth largest automaker, Hyundai has driven
its sales growth through improvements in quality and design.
While its rivals are using reliability and fuel economy to build
market share, Hyundai has taken the formula further with a
focus on making its cars more attractive and often at lower
prices. The brand’s goal is to entice customers with the speed
and appeal of luxury European models, but at non-premium
prices. To win the hearts of car buyers, Hyundai engages cred-
ible and attractive spokespersons, like Bollywood actor Shah
Rukh Khan and German football celebrity Jürgen Klinsmann, to
help communicate its value proposition. To improve its overall
brand perception, the company has a long-term commitment
with FIFA to sponsor the FIFA World Cup until 2022.

POINTS-OF-PARITY VERSUS POINTS-OF-DIFFERENCE For
an offering to achieve a point-of-parity
on that dimension. There is a zone or range of tolerance or
acceptance with points-of-parity. The brand does not
literally need to be seen as equal to competitors, but consumers
must feel it does well enough on that particular
Hyundai Motor Company has
pioneered the car market by
successfully establishing a
point-of-difference on low
prices and a point-of-parity
on quality and design.
So
ur
ce
: G
us
ta
vo
F
ad
el
/S
hu
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er

st
oc
k
M10_KOTL2621_15_GE_C10.INDD 302 3/11/15 5:22 PM
303
attribute or benefit. If they do, they may be willing to base their
evaluations and decisions on other factors more
favorable to the brand. A light beer presumably would never
taste as good as a full-strength beer, but it would need
to taste close enough to be able to effectively compete.
Often, the key to positioning is not so much achieving a point-
of-difference as achieving points-of-parity!
Visa Versus aMerican exPress Visa’s point-of-difference in the
credit card
category is that it is the most widely available card, which
underscores the category’s main benefit of convenience.
American Express, on the other hand, has built the equity of its
brand by highlighting the prestige associated with the
use of its card. Visa and American Express now compete to
create points-of-parity by attempting to blunt each other’s
advantage. Visa offers gold and platinum cards to enhance the
prestige of its brand, and for years it advertised, “It’s
Everywhere You Want to Be,” showing desirable travel and
leisure locations that accept only the Visa card to reinforce
both its own exclusivity and its acceptability. American Express
has substantially increased the number of merchants
that accept its cards and created other value enhancements while

also reinforcing its cachet through advertising that
showcases celebrities such as Robert De Niro, Tina Fey, Ellen
DeGeneres, and Beyoncé as well as promotions for exclu-
sive access to special events.
MULTIPLE FRAMES OF REFERENCE It is not uncommon for
a brand to identify more than one actual or
potential competitive frame of reference, if competition widens
or the firm plans to expand into new categories.
For example, Starbucks could define very distinct sets of
competitors, suggesting different possible POPs and
PODs as a result:19
Intended PODs might be
quality, image, experience, and variety; intended POPs might be
convenience and value.
Intended
PODs might be quality, image, experience, variety, and
freshness; intended POPs might be convenience
and value.
Intended PODs might be convenience and service quality;
intended POPs might be product
quality, variety, price, and community.
Note that some potential POPs and PODs for Starbucks are
shared across competitors; others are unique to a par-
ticular competitor.
frames of reference. One is to first develop the best possible
positioning for each type or class of competitors
and then see whether there is a way to create one combined
positioning robust enough to effectively address
them all. If competition is too diverse, however, it may be
necessary to prioritize competitors and then choose

the most important set of competitors to serve as the
competitive frame. One crucial consideration is not to
try to be all things to all people—that leads to lowest-common-
denominator positioning, which is typically
ineffective.
Finally, if there are many competitors in different categories or
subcategories, it may be useful to either
-
market take-home coffee” for Starbucks) or with an exemplar
from each category (McDonald’s or NESCAFÉ for
Starbucks).
STRADDLE POSITIONING Occasionally, a company will be
able to straddle two frames of reference with
one set of points-of-difference and points-of-parity. In these
cases, the points-of-difference for one category
become points-of-parity for the other and vice versa. Subway
restaurants are positioned as offering healthy, good-
tasting sandwiches. This positioning allows the brand to create
a POP on taste and a POD on health with respect to
taste with respect to health food restaurants and cafés.
Straddle positions allow brands to expand their market coverage
and potential customer base. Another example
is BMW.20
BMW When BMW first made a strong competitive push into
the U.S. market in the late 1970s, it positioned
the brand as the only automobile that offered both luxury and
performance. At that time, consumers saw U.S. luxury cars
M10_KOTL2621_15_GE_C10.INDD 303 3/11/15 5:22 PM

as lacking performance and U.S. performance cars as lacking
luxury. By relying on the design of its cars, its German
heritage, and other aspects of a well-conceived marketing
program, BMW was able to simultaneously achieve: (1) a
point-of-difference on luxury and a point-of-parity on
performance with respect to U.S. performance cars like the
Chevy
Corvette and (2) a point-of-difference on performance and a
point-of-parity on luxury with respect to U.S. luxury cars like
Cadillac. The clever slogan “The Ultimate Driving Machine”
effectively captured the newly created umbrella category:
luxury
performance cars.
Although a straddle positioning is often attractive as a means of
reconciling potentially conflicting consumer
points-of-difference are not credible, the brand may not be
viewed as a legitimate player in either category. Many
early personal digital assistants (PDAs), or palm-sized
computers, that unsuccessfully tried to straddle categories
ranging from pagers to laptop computers provide a vivid
illustration of this risk.
choosInG sPecIfIc PoPs and Pods
To build a strong brand and avoid the commodity trap,
marketers must start with the belief that you can differ-
entiate anything. Michael Porter urged companies to build a
sustainable competitive advantage.21
is a company’s ability to perform in one or more ways that
competitors cannot or will not match.

Some companies are finding success. Pharmaceutical companies
are developing biologics, medicines produced
using the body’s own cells rather than through chemical
reactions in a lab, because they are difficult for copycat
pharmaceutical companies to make a generic version of when
they go off patent. Roche Holding will enjoy an
advantage of at least three years with its $7 billion-a-year in
sales biologic rheumatoid arthritis treatment Rituxan
before a biosimilar copycat version is introduced.22
But few competitive advantages are inherently sustainable. At
best, they may be leverageable. A
is one that a company can use as a springboard to new
advantages, much as Microsoft has lever-
aged its operating system to Microsoft Office and then to
networking applications. In general, a company that
hopes to endure must be in the business of continuously
inventing new advantages that can serve as the basis of
points-of-difference.23
Marketers typically focus on brand benefits in choosing the
points-of-parity and points-of-difference that
-
Dove soap, for example, will talk about how its attribute of one-
quarter cleansing cream uniquely creates the
benefit of softer skin. Singapore Airlines can boast about its
superior customer service because of its better-
trained flight attendants and strong service culture. Consumers
are usually more interested in benefits and
what exactly they will get from a product. Multiple attributes
may support a certain benefit, and they may
change over time.

By combining the
seemingly incompatible
benefits of luxury and
performance, BMW has
found great success in
the American automotive
market.
So
ur
ce
: B
M
W
o
f N
or
th
A
m
er
ic
a
M10_KOTL2621_15_GE_C10.INDD 304 3/11/15 5:22 PM

305
| Fig. 10.1a |
(a) Hypothetical Beverage Perceptual
Map: Current Perceptions
D
C
B
Strong
Flavor
Light
Flavor
Traditional
Image
Contemporary
Image
Brands: A, B, C, & D
Customer Segments
Ideal Points: 1, 2, & 3
A
1
2

3
| Fig. 10.1b |
(b) Hypothetical Beverage Perceptual
Map: Possible …
Evaluating 19-Channel Z-score Neurofeedback:
Addressing Efficacy in a Clinical Setting
Submitted by
Nancy L. Wigton
A Dissertation Presented in Partial Fulfillment
of the Requirements for the Degree
Doctorate of Philosophy

Grand Canyon University
Phoenix, Arizona
May 15, 2014
All rights reserved
INFORMATION TO ALL USERS
The quality of this reproduction is dependent upon the quality
of the copy submitted.
In the unlikely event that the author did not send a complete
manuscript
and there are missing pages, these will be noted. Also, if
material had to be removed,
a note will indicate the deletion.
Microform Edition © ProQuest LLC.
All rights reserved. This work is protected against
unauthorized copying under Title 17, United States Code
ProQuest LLC.
789 East Eisenhower Parkway
P.O. Box 1346
Ann Arbor, MI 48106 - 1346
UMI 3625170
Published by ProQuest LLC (2014). Copyright in the
Dissertation held by the Author.

UMI Number: 3625170
© by Nancy L. Wigton, 2014
All rights reserved.
Abstract
Neurofeedback (NF) is gaining recognition as an evidence-
based intervention grounded

in learning theory, and 19-channel z-score neurofeedback
(19ZNF) is a new NF model.
Peer-reviewed literature is lacking regarding empirical-based
evaluation of 19ZNF. The
purpose of this quantitative research study was to evaluate the
efficacy of 19ZNF, in a
clinical setting, using archival data from a Southwest NF
practice, with a retrospective
one-group pretest-posttest design. Each of the outcome
measures framed a group such
that 19ZNF was evaluated, as it relates to the particular
neuropsychological constructs of
attention (n = 10), behavior (n = 14), executive function (n =
12), as well as
electrocortical functioning (n = 21). The research questions
asked if 19ZNF improves
these constructs. One-tailed t tests performed, compared pre-
post scores for included
clinical assessment scales, and selected quantitative
electroencephalographic (QEEG)
metrics. For all pre-post comparisons, the direction of change
was in the predicted
direction. Moreover, for all outcome measures, the group means
were beyond the

clinically significant threshold before 19ZNF, and no longer
clinically significant after
19ZNF. All differences were statistically significant, with
results ranging from p = .000
to p = .008; and effect sizes ranging from 1.29 to 3.42. Results
suggest 19ZNF improved
attention, behavior, executive function, and electrocortical
function. This study provides
beginning evidence of 19ZNF’s efficacy, adds to what is known
about 19ZNF, and offers
an innovative approach for using QEEG metrics as outcome
measures. These results may
lead to a greater acceptance of 19ZNF, as well as foster needed
additional scientific
research.
Keywords: Neurofeedback, QEEG, z-score neurofeedback,
19ZNF, EEG biofeedback
v
Dedication

This dissertation is dedicated to my Lord and Savior, Jesus.
From my first
thoughts of considering a doctoral program being divinely
inspired and directed, through
to the last step I will take across a graduation stage, the Father,
Son, and Holy Spirit are
always the center point, the anchor. To that end, three Bible
passages capture the
experience of my journey.
The way of God is perfect, the Lord’s word has stood the test;
He is the shield of
all who take refuge in Him. What god is there but the Lord?
What rock but our
God? – the God who girds me with strength and makes my way
blameless, who
makes me swift as the deer and sets me secure on the
mountains (Psalms 18:30-
33, New English Bible).
“Commit your life to the Lord; trust in Him and He will act. He
will make your
righteousness shine clear as the day and the justice of your
cause like the sun at noon”
(Psalms 37:5-6).

“Not to us, O Lord, not to us, but to thy name ascribe the glory,
for thy true love
and for thy constancy” (Psalms 115:1).
vi
Acknowledgments
It is only through the Lord’s strength and wisdom that this
dissertation came to
fruition. Next, I acknowledge the man with whom the Lord has
made me one, my
husband. You are truly the wind beneath my wings, and without
you I would not have
had the wherewithal to complete this endeavor. Thank you for
all your support and
sharing your perseverance for my good. I also wish to
acknowledge, with unbounded
gratitude, the most perfect dissertation committee possible for
this journey.
To my chair, Dr. Genomary Krigbaum, words are insufficient to

fully express the
depth and breadth of my appreciation for your support,
guidance, and direction. When I
first read descriptions of what the ideal chair would be, with
characteristics inclusive of
mentor, advocate, role model, teacher, defender, guide,
supervisor, coach, encourager,
and friend, I wondered if it would ever be possible to find all
those elements in one
person. Yet in you, I found them all, and more. Por siempre
agradecida. Moreover, thank
you for encouraging me to build on the methodology you
started. To Dr. Daniel Smith, I
am grateful that you joined my dissertation team. I knew I could
count on you for your
statistical expertise, and you did not disappoint. Thank you for
the many conversations
prior to my dissertation journey, and in helping to pave the way
for the best committee
possible. To Dr. Genie Bodenhamer-Davis, as a most respected
neurofeedback
practitioner and educator, I am humbled and honored that you
were willing to assist me in
my dissertation journey. Thank you, so much, for your counsel

over the last 3 years. To
Dr. Ron Bonnstetter, thank you for your support in being my
adjunct dissertation reader.
Thank you for your compliments on my writing and your
assurance I have what it takes
to succeed as a scholar.
vii
Table of Contents
List of Tables
...............................................................................................
...................... xi
List of Figures
...............................................................................................
.................... xii
Chapter 1: Introduction to the Study
....................................................................................1
Introduction
...............................................................................................
.....................1
Background of the Study
...............................................................................................

2
Problem Statement
...............................................................................................
..........4
Purpose of the Study
...............................................................................................
.......5
Research Questions and Hypotheses
.............................................................................6
Advancing Scientific Knowledge
..................................................................................8
Significance of the Study
...............................................................................................
9
Rationale for Methodology
..........................................................................................10
Nature of the Research Design for the Study
...............................................................11
Definition of
Terms.....................................................................................
.................13
Assumptions, Limitations, Delimitations
....................................................................19
Summary and Organization of the Remainder of the Study
........................................22

Chapter 2: Literature Review
.............................................................................................2
3
Introduction and Background to the Problem
..............................................................23
Historical overview of EEG and QEEG.
.......................................................24
Historical overview of NF
.............................................................................25
How problem/gap of 19ZNF research evolved into current form
.................28
Theoretical Foundations and/or Conceptual Framework
.............................................31
Foundations of EEG and QEEG
....................................................................31
viii
Learning theory as applied to
NF...................................................................31
Traditional/amplitude-based models of NF
...................................................33
QNF model of NF

..........................................................................................35
ZNF model of
NF..........................................................................................
.38
Review of the Literature – Key Themes
......................................................................39
QNF in the literature
......................................................................................39
4ZNF in the
literature.................................................................................
....47
19ZNF in the
literature.................................................................................
..50
Outcome measures for ZNF research
............................................................53
Summary
...............................................................................................
.......................59
Chapter 3: Methodology
...............................................................................................
.....61
Introduction
...............................................................................................
...................61
Statement of the Problem

.............................................................................................6
1
...........................................................................62
Research Methodology
...............................................................................................
.64
Research
Design....................................................................................
.......................65
Population and Sample
Selection.................................................................................
66
Instrumentation
...............................................................................................
.............68
Validity
...............................................................................................
.........................72
Reliability
...............................................................................................
......................74
Data Collection Procedures
..........................................................................................76
Data Analysis Procedures
............................................................................................7
8

Ethical Considerations
...............................................................................................
..81
ix
Limitations
...............................................................................................
....................82
Summary
...............................................................................................
.......................84
Chapter 4: Data Analysis and Results
................................................................................86
Introduction
...............................................................................................
...................86
Descriptive
Data........................................................................................
...................86
............................................................................................9
3

Results
...............................................................................................
...........................96
Summary
...............................................................................................
.....................103
Chapter 5: Summary, Conclusions, and Recommendations
............................................105
Introduction
...............................................................................................
.................105
Summary of the Study
...............................................................................................
106
Summary of Findings and Conclusion
.......................................................................107
Implications............................................................................
....................................113
Theoretical
implications............................................................................
...114
Practical implications
...................................................................................115
Future implications.
.....................................................................................116
Recommendations

...............................................................................................
.......117
Recommendations for future research.
........................................................117
Recommendations for practice.
...................................................................118
References
...............................................................................................
.........................120
Appendix A
...............................................................................................
.......................136
Appendix B
...............................................................................................
.......................137
x
Appendix C
...............................................................................................
.......................138
Appendix D
...............................................................................................
.......................139

xi
List of Tables
Table 1.1. Research Questions and Variables
......................................................................8
Table 4.1. Descriptive Data for All Groups
...................................................................... 91
Table 4.2. Shapiro-wilk Results for Difference Scores
.................................................... 95
Table 4.3. Summary of Results - All
Groups...................................................................104
xii
List of Figures

Figure 1.1. Formation of Sample Groups
......................................................................... 13
Figure 4.1. IVA Group Pre-Post
Scores............................................................................ 97
Figure 4.2. DSMD Group Pre-Post Scores
....................................................................... 99
Figure 4.3. BRIEF Group Pre-Post Scores
..................................................................... 101
Figure 4.4. QEEG Group Pre-Post Scores
..................................................................... 102
1
Introduction
Neurofeedback (NF) is an operant conditioning brainwave
biofeedback technique,
which is also referred to as electroencephalographic (EEG)

biofeedback. This modality,
dating back to the 1970s (Lubar & Shouse, 1976; Sterman,
LoPresti, & Fairchild, 2010),
trains electrical signals of targeted frequencies and involves
recording EEG data from
scalp sensors with an amplifier, which is subsequently
processed by computer software.
The software provides visual and sound display feedback to the
trainee, thereby
providing a reward stimulus when the brain is functioning in the
target range. This
reward process generates learning such that the brain’s
functioning is conditioned in the
intended manner.
Over the years, new models of NF have been developed, and the
most current
iteration is a style of NF which is termed z-score NF (ZNF).
ZNF is different from more
traditional NF models in that it incorporates into the NF session
real-time quantitative
EEG (QEEG) z-score metrics making it possible to combine
operant conditioning with
real-time assessment using a normative database (Collura,
Thatcher, Smith, Lambos, &

Stark 2009; Thatcher, 2012). In 2006, a 4-channel ZNF (4ZNF)
technique was
introduced, which in 2009 was expanded to include all 19 sites
of the International 10-20
System (of electrode placement) to allow for a 19-channel ZNF
(19ZNF). To date, case
study and anecdotal clinical reports within the field indicate
this new 19ZNF approach is
an improvement over traditional NF models (J. L. Koberda,
Moses, Koberda & Koberda,
2012a; Wigton, 2013). However the efficacy of this new model
has not yet been
established from empirical studies. This research is different
from prior qualitative
2
studies; it has been completed as a quantitative analysis of pre -
post outcome measures
with group data, and thus, it is a beginning in establishing
empirical evidence regarding
19ZNF.

The remainder of this chapter formulates this dissertation
through a review of the
study background, problem statement, purpose and significance,
and how this research
advances the scientific knowledge. Moreover the research
questions and hypotheses are
presented, together with the methodology rationale and the
nature of the research design.
An extended Definition section is included to review the many
technical terms germane
to this research. Readers unfamiliar with NF or QEEGs may
find it helpful to review the
definitions first. Finally, to establish the scope of the study, a
list of assumptions,
limitations, and delimitations are included.
In recent years NF has seen increasing acceptance as a
therapeutic technique.
Current literature includes reviews and meta-analyses which
establish a recognition of
NF as effective for the specific condition of attention deficit
hyperactivity disorder
(ADHD) (Arns, de Ridder, Strehl, Breteler, & Coenen 2009;
Brandeis, 2011;

Gevensleben, Rothenberger, Moll, & Heinrich, 2012; Lofthouse,
Arnold, Hersch, Hurt, &
DeBeus, 2012; Niv, 2013; Pigott, De Biase, Bodenhamer-Davis,
& Davis, 2013).
However, the type of NF covered in these reviews is limited to
the oldest NF model
(theta/beta ratio) and/or slow cortical potential NF. Yet of note
are reports in the literature
of a different NF model which is informed by QEEG data. This
QEEG-guided NF (QNF)
is reported to be used for a much wider range of conditions; not
only ADHD, but also
behavior disorders, cognitive dysfunction, various mood
disorders, epilepsy,
3
posttraumatic stress disorder, head injuries, autism spectrum
disorders, migraines,
learning disorders, schizophrenia, and mental retardation (Arns,
Drinkenburg, &
Kenemans, 2012; Breteler, Arns, Peters, Giepmans, &
Verhoeven, 2010; Coben &

Myers, 2010; J. L. Koberda, Hillier, Jones, Moses, & Koberda
2012; Surmeli, Ertem,
Eralp, & Kos, 2012; Surmeli & Ertem, 2009, 2010, 2011;
Walker, 2009, 2010b, 2011,
2012b).
Yet, all the aforementioned models are limited in their use of
only one or two
electrodes and they also require many sessions to achieve good
clinical outcomes. For the
above-cited studies the reported average number of sessions was
40.5. Moreover,
Thatcher (2012, 2013) reports 40 to 80 sessions to be the
accepted norm for these older
style models; thus leading to a sizeable cost to access this
treatment. However, one of the
newest ZNF models shows promise to bring about positive
clinical outcomes in
significantly fewer sessions (Thatcher, 2013). With 4ZNF there
have been reports of
successful clinical outcomes with less than 25 sessions (Collura,
Guan, Tarrant, Bailey, &
Starr, 2010; Hammer, Colbert, Brown, & Ilioi, 2011; Wigton,
2008); whereas clinical

reviews and recent conference reports (J. L. Koberda, Moses,
Koberda, & Koberda,
2012b; Rutter, 2011; Wigton, 2009, 2010a, 2010b, 2013;
Wigton & Krigbaum, 2012)
suggest 19ZNF can result in positive clinical outcomes, as well
as QEEG normalization,
in as few as 5 to15 sessions. Therefore a NF technique which
shows promise to bring
clinical improvement in fewer sessions – thereby reducing
treatment cost – deserves
empirical study.
Currently in the peer-reviewed published literature, there are a
couple of
descriptive and clinical review articles about the 19ZNF model
(Thatcher, 2013; Wigton,
4
2013) and two single case study reports (Hallman, 2012; J. L.
Koberda et al., 2012a);
however rigorous scientific studies evaluating 19ZNF have not
been found, which poses
a gap in the literature. Therefore, before the question of

efficiency and number of
sessions is examined, first its efficacy should be established.
NF and ZNF efficacy has
been discussed in the literature as having the desired effect in
terms of improved clinical
outcomes (La Vaque et al., 2002; Thatcher, 2013; Wigton,
2013), a definition that fits
well within the scope of this research. In this study, there are
two types of clinical
outcome measures; one type (clinical assessments) is a set of
psychometric tests designed
to measure symptom severity and/or improvement, the other
type (QEEG z-scores)
provides a representative measure of electrocortical dysfunction
and/or improvement.
Thus, this dissertation is intended to address efficacy of 19ZNF
in a clinical setting,
through a retrospective evaluation of clinical outcomes, as
measured by clinical
assessments and QEEG z-scores.
Problem Statement
It is not known, by way of statistical evaluation of either
clinical assessments or

QEEG z-scores, if 19ZNF is an effective NF technique. This is
an important problem
because 19ZNF is a new NF model currently in use by a
growing number of practitioners,
yet scientific research investigating its efficacy is lacking.
According to an Efficacy Task
Force, established by the two primary professional
organizations for NF and biofeedback
professionals,
1
anecdotal reports (regardless of how many) are insufficient as a
basis for
1
The primary professional societies for neurofeedback and
biofeedback are the International
Society for Neurofeedback and Research (ISNR; www.isnr.org)
and the Association for Applied
Psychophysiology and Biofeedback (AAPB; www.aapb.org).
5
determining treatment efficacy, and uncontrolled case studies
are scientifically weak (La

Vaque et al., 2002). Therefore, scientific evidence of efficacy
for 19ZNF is needed.
The identified population for this study is made up of those
seeking NF services
(both adults and children), and those who become NF clients.
These individuals may
have an array of symptoms, which adversely affect their daily
functioning; they may also
have previously diagnosed mental health disorders. When
seeking NF services these
individuals must choose among a variety of NF models.
However the dearth of scientific
literature regarding 19ZNF limits the information available to
inform that decision-
making process. Therefore, it is vital that both NF clinicians
and clients have empirically
derived information regarding the clinical value and efficacy of
this new NF technique.
Consequently, the problem of this empirical gap impacts the NF
clinician and client alike.
The goal of this research is to contribute in providing a first
step towards addressing this
research gap.

The purpose of this quantitative, retrospective, one-group,
pretest-posttest study
research was to compare the difference between pre and post
clinical assessments and
QEEG z-scores data, before and after 19ZNF sessions, from
archived data of a private
neurofeedback practice in the Southwest region of the United
States. The comparisons
were accomplished via statistical analysis appropriate to the
data (i.e. paired t tests), and
will be further discussed in the Data Analysis section of
Chapter 3. The independent
variable is defined as the 19ZNF, and the dependent variables
are defined as the standard
scaled scores of three clinical assessments and QEEG z-score
data. The clinical
assessments measure symptoms of attention, behavior, and
executive function, whereas
6
the z-scores provide a representative measure of electrocortical
function. The full scopes

of the assessments are further outlined in the Instrumentation
section of Chapter 3.
Given the retrospective nature of this study, there were no
individuals, as subjects,
with which to interact. However the target population group is
considered to be adults
and children with clinical symptoms of compromised attention,
behavior, or executive
function, who are interested in NF as an intervention for
improvement of those
symptoms. This pretest-posttest comparison research contributes
to the NF field by
conducting a scientific study, using quantitative group methods,
to address the efficacy of
the new 19ZNF model.
If the problem to be addressed is a lack of scientific evidence
demonstrating
efficacy of 19ZNF, the solution lies in evaluating its potential
for improving clinical
outcomes as measured by clinical assessments and
electrocortical metrics. Therefore
research questions posed in terms of clinical symptomology and

cortical function
measures is a reasonable approach. For this research the
independent variable is the
19ZNF and the dependent variables are clinical outcomes, as
measured by the scaled
scores from three clinical assessments and z-scores from QEEG
data. The clinical
assessments are designed to measure symptom severity of
attention, behavior, and
executive functioning, and the z-scores are a representational
measure of electrocortical
function. The data gathering, scores calculation, and, data
analysis were conducted by the
researcher.
7
The following research questions guided this study:
R1a. Does 19ZNF improve attention as measured by the
Integrated Visual and

Auditory continuous performance test (IVA; BrainTrain,
Incorporated,
Chesterfield, VA)?
Ha1a: The post scores will be higher than the pre scores for the
IVA
assessment.
H01a: The post scores will be lower than, or not significantly
different
from, the pre scores of the IVA assessment.
R1b. Does 19ZNF improve behavior as measured by the
Devereux Scale of
Mental Disorders (DSMD; Pearson Education, Incorporated, San
Antonio, TX)?
Ha1b: The post scores will be lower than the pre scores for the
DSMD
assessment.
H01b: The post scores will be higher than, or not significantly
different
from, the pre scores of the DSMD assessment.
R1c. Does 19ZNF improve executive function as measured by
the Behavior
Rating Inventory of Executive Functioning (BRIEF; Western
Psychological

Services, Incorporated, Torrance, CA)?
Ha1c: The post scores will be lower than the pre scores for the
BRIEF
assessment.
H01c: The post scores will be higher than, or not significantly
different
from, the pre scores of the BRIEF assessment.
R2. Does 19ZNF improve electrocortical function as measured
by QEEG z-scores
(using the Neuroguide Deluxe software, Applied Neuroscience
Incorporated, St.
8
Petersburg, FL), such that the post z-scores are closer to the
mean than pre z-
scores?
Ha2: The post z-scores will be closer to the mean than the pre
z-scores.
H02: The post z-scores will be farther from the mean, or not
significantly

different from, the pre z-scores.
See as follows Table 1.1, outlining the research questions and
variables.
Table 1.1
Research Questions and Variables
Research Questions Hypotheses Variables Instrument(s)
2. 1a. Does 19ZNF improve
attention as measured by
the IVA?
The post scores will be
higher than the pre scores
for the IVA assessment.
IV: 19ZNF
DV: IVA standard scale
scores
IVA
computerized

performance test
1b. Does 19ZNF
improve behavior as
measured by the DSMD?
lower than the pre scores
for the DSMD
assessment.
IV: 19ZNF
DV: DSMD standard
scale scores
DSMD
rating scale
1. 1c. Does 19ZNF improve
executive function as
measured by the BRIEF?
lower than the pre scores

for the BRIEF
assessment.
IV: 19ZNF
DV: BRIEF standard
scale scores
BRIEF
rating scale
2. 2. Does 19ZNF improve
electrocortical function
as measured by QEEG z-
scores such that the post
z-scores are closer to the
mean than pre z-scores?
The post QEEG z-scores
will be closer to the mean
than the pre z-scores.
IV: 19ZNF
DV: QEEG

z-scores
QEEG
z-score data generated
from Neuroguide
software
The theoretical framework of NF is the application of operant
conditioning upon
the EEG, which leads to electrocortical changes, and in turn,
better brain function and
clinical symptom improvement; moreover, studies evaluating
traditional NF have
9
demonstrated its efficacy (Arns et al., 2009; Pigott et al., 2013).
The 19ZNF model is
new, and …

A Grounded Theory Investigation of Thinking and Reasoning
with Multiple
Representational Systems for Epistemological Change in
Introductory Physics
Submitted by
Clark Henson Vangilder
A Dissertation Presented in Partial Fulfillment
of the Requirements for the Degree
Doctor of Philosophy in Psychology
Grand Canyon University
Phoenix, Arizona
February 23, 2016

All rights reserved
INFORMATION TO ALL USERS
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material had to be removed,
a note will indicate the deletion.
This work is protected against unauthorized copying under Title
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Microform Edition © ProQuest LLC.
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Published by ProQuest LLC (2016). Copyright of the
Dissertation is held by the Author.
ProQuest Number: 10027568

© by Clark Henson Vangilder, 2016
GRAND CANYON UNIVERSITY
A Grounded Theory Investigation of Thinking and Reasoning
with Multiple
Representational Systems for Epistemological Change in
Introductory Physics
I verify that my dissertation represents original research, is not
falsified or plagiarized,
and that I have accurately reported, cited, and referenced all
sources within this
manuscript in strict compliance with APA and Grand Canyon
University (GCU)

guidelines. I also verify my dissertation complies with the
approval(s) granted for this
research investigation by GCU Institutional Review Board
(IRB).
__________________________________________February 8,
2016
Clark Henson Vangilder Date
Abstract
Conceptual and epistemological change work in concert under
the influence of
representational systems, and are employed by introductory
physics (IP) students in the
thinking and reasoning that they demonstrate in various
modelling and problem-solving
processes. A grounded theory design was used to qualitatively

assess how students used
multiple representational systems (MRS) in their own thinking
and reasoning along the
way to personal epistemological change. This study was framed
by the work of Piaget and
other cognitive theorists and conducted in a college in Arizona;
the sample size was 44.
The findings herein suggest that thinking and reasoning are
distinct processes that handle
concepts and conceptual frameworks in different ways, and thus
a new theory for the
conceptual framework of thinking and reasoning is proposed.
Thinking is defined as the
ability to construct a concept, whereas reasoning is the ability
to construct a conceptual
framework (build a model). A taxonomy of conceptual
frameworks encompasses thinking
as a construct dependent on building a model, and relies on the
interaction of at least four
different types of concepts during model construction. Thinking
is synonymous with the
construction of conceptual frameworks, whereas reasoning i s
synonymous with the
coordination of concepts. A new definition for understanding as

the ability to relate
conceptual frameworks (models) was also created as an
extension of the core elements of
thinking and reasoning about the empirically familiar
regularizes (laws) that are part of
Physics.
Keywords: thinking, reasoning, understanding, concept,
conceptual framework,
personal epistemology, epistemological change, conceptual
change, representational
system, introductory physics, model, modeling, physics.
vi
Dedication
This work is dedicated to my marvelous wife, Gia Nina
Vangilder. Above all
others, she has sacrificed much during the journey to my Ph.D.
Her unwavering love and
loyalty transcend the practical benefits of her proofreading
assistance over the years, as
well as other logistical maneuverings pertaining to our family

enduring the time
commitment that such an endeavor requires of me personally.
You are amazing Gia, and I love you more than mere words can
describe!
Most importantly, I thank God Himself for putting my mind in a
wonderful
universe so rich with things to explore.
vii
Acknowledgments
I am exceptionally pleased to have worked with the committee
that has approved
this document—Dr. Racheal Stimpson (Chair), Dr. Pat D’Urso
(Methodologist), and Dr.
Rob MacDuff (Content Expert). Each one of you has contributed
to my success in your
own special way, and with your own particular talents.
I am blessed to have walked this path under your guidance.
Honorable mention is given Dr. Rob MacDuff, whose influence

and collaboration
over the years is valuable beyond measure or words. Neither of
us would be where we are
at without the partnership of theory and practice that has
defined our collaboration for
more than a decade now. I am truly blessed to know you and
work with you.
viii
Table of Contents
List of Tables
...............................................................................................
.................... xiii
List of Figures
...............................................................................................
................... xiv
....................................................................................1
Introduction
...............................................................................................
.....................1

...............................................................................................
3
Personal epistemology.
.........................................................................................5
Representational Systems.
....................................................................................6
Problem Statement
...............................................................................................
..........8
...............................................................................................
.......9
Research Questions and Phenomenon
.........................................................................10
Qualitative Research Questions
...................................................................................11
................................................................................12
Significance of the Study
.............................................................................................1
4
Rationale for Methodology
..........................................................................................16
Nature of the Research Design for the Study
...............................................................17

Definition of
Terms.....................................................................................
.................19
Assumptions, Limitations, Delimitations
....................................................................20
Summary and Organization of the Remainder of the Study
........................................21
Chapter 2: Literature Review
.............................................................................................2
3
Introduction to the Chapter and Background to the Problem
......................................23
Theoretical Foundations and Conceptual Framework
.................................................29
Personal epistemology
........................................................................................29
ix
Thinking and reasoning
.......................................................................................30
Building a conceptual model for this study
........................................................34

Representational systems
....................................................................................36
Self-efficacy, self-regulation, and journaling
.....................................................38
Convergence of conceptual and theoretical foundations
....................................39
Review of the Literature
..............................................................................................
40
A brief history of personal epistemology research
.............................................40
A brief history of assessment on personal epistemology
....................................43
Connections between conceptual change and personal
epistemology ................48
Conceptual change in introductory physics
........................................................51
Personal epistemologies and learning physics
....................................................55
Thinking and reasoning in introductory physics
.................................................64
Study methodology
.............................................................................................6
8
Study instruments and measures

.........................................................................71
Summary
...............................................................................................
.......................72
Chapter 3: Methodology
...............................................................................................
.....76
Introduction
...............................................................................................
...................76
Statement of the Problem
.............................................................................................7
7
Research Questions
...............................................................................................
.......78
Research Methodology
...............................................................................................
.80
Research
Design....................................................................................
.......................81
Population and Sample
Selection.................................................................................
83
Instrumentation and Sources of Data
...........................................................................84

x
Classroom activities and assessment instrument
................................................86
Validity
...............................................................................................
.........................91
Reliability
...............................................................................................
......................93
Data Collection and Management
................................................................................94
............................................................................................9
7
Preparation of data
..............................................................................................
97
Data analysis
...............................................................................................
........98
Ethical Considerations
...............................................................................................
..99

Limitations and Delimitations
....................................................................................100
Summary
...............................................................................................
.....................101
Chapter 4: Data Analysis and Results
..............................................................................105
Introduction
...............................................................................................
.................105
Descriptive
Data........................................................................................
.................106
..........................................................................................10
9
Coding schemes
...............................................................................................
.110
Triangulation of data
.........................................................................................113
Results
.......................................................................................... .....
.........................116
PEP Analysis.
...............................................................................................

.....116
Qualitative analysis.
..........................................................................................12
1
Analysis of the physics and reality activity
journals.........................................135
Consideration of research questions with current results.
.................................136
Combined analysis of the remaining study activities
........................................137
Other assessments.
............................................................................................1
43
xi
Summary
...............................................................................................
.....................144
Chapter 5: Summary, Conclusions, and Recommendations
............................................147
Introduction
...............................................................................................
.................147

Summary of the Study
...............................................................................................
149
Summary of Findings and Conclusion
.......................................................................151
Research Question
1..........................................................................................1
52
Research Question
2..........................................................................................1
62
Definitions
...............................................................................................
..........164
Predictions.
...............................................................................................
.........171
Suggestions for TRU Learning Theory use
......................................................171
Implications............................................................................
....................................172
Theoretical implications.
...................................................................................172
Practical implications
........................................................................................174
Future implications

...........................................................................................17
5
Strengths and weaknesses
.................................................................................176
Recommendations
...............................................................................................
.......177
Recommendations for future research.
.............................................................177
Recommendations for future practice.
..............................................................178
References
...............................................................................................
.........................181
Appendix A. Site Authorization Form
.............................................................................203
Appendix B. Student Consent Form
................................................................................204
Appendix C. GCU D-50 IRB Approval to Conduct Research
........................................205
Appendix D. Psycho-Epistemological Profile
(PEP).......................................................206
xii

Appendix E. What is Physics? What is Reality? Is Physics
Reality? ..............................209
Appendix F. Numbers Do Not Add
.................................................................................213
Appendix G. The Law of the
Circle.................................................................................21
4
Appendix H. The Zeroth Laws of Motion
.......................................................................215
Appendix I. End of Term Interview
.................................................................................218
xiii
List of Tables
Table 1. Literature Review Search Pattern 1
................................................................... 26
Table 2. Literature Review Search Pattern 2
................................................................... 27
Table 3. Study Population Demographics
..................................................................... 107

Table 4. Interview Transcript Data
................................................................................ 109
Table 5. PEP Dimension Scores
.................................................................................... 117
Table 6. Basic PEP Composite Descriptive Statistics
................................................... 117
Table 7. Basic PEP Dimension Descriptive Statistics
................................................... 118
Table 8. Primary PEP Dimension Changes
................................................................... 119
Table 9. Secondary PEP Dimension Changes
............................................................... 120
Table 10. Tertiary PEP Dimension Changes
................................................................. 120
Table 11. PEP Score Distributions Normality Tests
...................................................... 121
Table 12. Overall Coding Results
.................................................................................. 122
Table 13. Coding Results for the Elements of Thought (EoT)
...................................... 123
Table 14. Jaccard Indices for Distinction and EoT Code
Comparison .......................... 125
Table 15. Examples of Concept Coordination
............................................................... 130

Table 16. Examples of Belief Development Claims About
Thinking ........................... 139
Table 17. Examples of EoT Belief Development
.......................................................... 140
Table 18. Examples of Belief Development
.................................................................. 141
Table 19. Examples of Belief Development
.................................................................. 143
Table 20. Force Concept Inventory (FCI) Results
......................................................... 144
Table 21. Mechanics Baseline Test (MBT) Results
...................................................... 144
Table 22. Cognitive Modeling Approach to Axiom
Development................................ 167
xiv
List of Figures
Figure 1.The eight elements of thought.
........................................................................... 33
Figure 2. The eight elements of scientific thought.
.......................................................... 34

Figure 3. Typiscal classroom activity life cycle.
.............................................................. 86
Figure 4. Cluster analysis circle graph for EoT and distinctions.
................................... 124
Figure 5. Cluster analysis dendrogram.
.......................................................................... 126
Figure 6. Distinctions and coordinations vs. EoT node matrix.
..................................... 128
Figure 7. Concepts and individual POV node matrix.
.................................................... 129
Figure 8. Distinctions and coordinations vs. EoT node matrix.
...................................... 131
Figure 9. MSPR group discussions distinctions-coordinations
EoT node matrix. ......... 132
Figure 10. MSPR journals distinctions-coordinations EoT node
matrix. ....................... 132
Figure 11. MSPR math EoT node matrix.
...................................................................... 133
Figure 12. MSPR science EoT node
matrix.................................................................... 134
Figure 13. MSPR physics EoT node matrix.
.................................................................. 134
Figure 14. Distinctions vs. EoT node matrix.
................................................................. 135

Figure 15. Coordinations vs. EoT node matrix.
.............................................................. 136
Figure 16. Belief development with TRU claims node matrix.
...................................... 138
Figure 17. Node matrix comparing beliefs with EoT.
.................................................... 140
Figure 18. Node matrix comparing true claims with EoT.
............................................ 142
Figure 19. Cognitive Modeling Taxonomy of Conceptual
Frameworks - Processes. ... 158
Figure 20. Cognitive Modeling Taxonomy of Conceptual
Frameworks - Collections. . 165
Figure 21. CMTCF example 1: first zeroth law of motion.
............................................ 166
Figure 22. Vector diagrammatic model of the First Zeroth Law.
................................... 168
xv
Figure 23. Graphical model of the First Zeroth Law.
..................................................... 169
Figure 24. CMTCF Example 2: Second Zeroth Law of
Motion..................................... 169

Figure 25. CMTCF example 3: Second Zeroth Law axiom.
.......................................... 169
-
1
Introduction
The cumulative history of physics education research (PER) for
the last 34 years
has led to a reform in science teaching that has fundamentally
changed the nature of
physics instruction in many places around the world (Modeling
Instruction Project, 2013;
ISLE, 2014). Historical developments in PER have highlighted
the connection that exists
between conceptual change and the way that students come to
learn (Hake, 2007;
Hestenes, 2010), the difficulties that impede their learning
(Lising & Elby, 2005), the

connection between personal epistemology and learning physics
(Brewe, Traxler, de la
Garza & Kramer, 2013; Ding, 2014; Zhang & Ding, 2013), and
theoretical developments
that inform pedagogical reform (Hake, 1998; Hestenes, 2010).
To date, little research has
been done exploring the particular mechanisms of general
epistemological change
(Bendixen, 2012), with PER pioneers such as Redish (2013)
suggesting the need for a
basis in psychological theory for how physics students think and
believe when it comes to
learning and knowledge acquisition. There is still no definitive
answer about general
epistemological change within the literature (Hofer, 2012;
Hofer & Sinatra, 2010), and
many of the leading researchers have been studying that with
the context of mathematics
and/or physics (see Hammer & Elby, 2012; Schommer-Aikins &
Duell, 2013).
The central goal of this research was to determine how students
encode meaning
through the deployment of multiple representational systems
(MRS)—such as words,

symbols, diagrams, and graphs—in an effort towards thinking
and reasoning their way
through epistemological change in an Introductory Physics (IP)
classroom. Specifically,
this study positions MRS as tools for thinking and reasoning
that are capable of
2
producing epistemological change. Among other things, the
study sought to find the types
and numbers of MRS that are the most useful in producing
epistemological change. Such
findings would then inform the PER community concerning the
capacity that MRS have
for encoding meaning during the scientific thinking and
reasoning process. Moreover, the
relative importance of personal epistemology in the process of
conceptual change—either
as a barrier or a promoter—is the kind of information needed
for continued progress in
the PER reform effort, as well as learning theory in general. The
PER Community has a

number of peer-reviewed journals such as the American Journal
of Physics (see Hake
1998, 2007; Lising & Elby, 2005; Redish 2013) and the Physical
Review Special Topics -
Physics Education Research (see Bing & Redish, 2012; Bodin,
2012; Brewe, 2011; De
Cock, 2012; Ding, 2014), where much of the research is
reported.
The multi-decade findings of both the PER community and the
researchers
involved with personal epistemology, indicate a deep
connection between learning
physics and beliefs about the world, as well as how those
epistemic views correspond to
conceptual change. It is impossible to do Physics without the
aid of conventional
representational systems such as natural language and
mathematics; hence the inherent
capacity for those representational systems to influence both
conceptual and epistemic
knowledge (Plotnitsky, 2012) is a legitimate point of inquiry
that has gone largely
unnoticed. The usage of one or more representational systems
should inform researchers

of what the students is thinking or reasoning about—
specifically, the ontology, and
therefore the beliefs that such a learner has concerning what has
been encoded by MRS.
Beliefs about reality and the correspondence to Physics are
inextricably linked through
MRS.
3
According to Pintrich (2012), it is unclear at this time how
representational
systems influence epistemological change when deployed in
learning environments of
any type. Historically, the lessons learned from the advance of
the learning sciences have
shown that personal choices in representational systems are
critical to the metacognitive
strategies that lead to increased learning and knowledge transfer
(Kafai, 2007) when
situated in learning environments that are collaborative and
individually reflective against
the backdrop of prior knowledge (Bransford, Brown, Cocking,

& National Research
Council, 1999). The central goal of this research was to
determine how thinking and
reasoning with multiple representational systems (MRS)—such
as diagrams, symbols,
and natural language—influences epistemological change within
the setting of an IP
classroom. The study described herein positions adult
community college students in a
learning environment rich with conceptual and representational
tools, along with a set of
challenges to their prior knowledge and beliefs. This study
answers a long-standing
deficit in the literature on epistemological change (Bendixen,
2012; Pintrich, 2012) by
providing a deeper understanding of the processes and
mechanisms of epistemological
change as they pertain to context (domain of knowledge) and
representational systems in
terms of the psychological constructs of thinking and reasoning.
This chapter will setup
the background for the study research questions based on the
current and historical
findings within the fields of personal epistemology research,

and the multi-decade
findings of the PER community.
The current state of research on personal epistemology is one
of theoretical
competition (Hofer, 2012: Pintrich, 2012), concerning how
learners situated within
4
different contexts, domains of inquiry, and developmental
stages obtain epistemological
advancement, as well as whether or not to include the nature of
learning alongside the
nature of knowledge and knowing in the definition of personal
epistemology (Hammer &
Elby, 2012). The term epistemology deals with the origin,
nature, and usage of
knowledge (Hofer, 2012), and thus epistemological change
addresses how individual
beliefs are adjusted and for what reasons. Moreover, the field
has not produced a clear

understanding of how those learners develop conceptual
knowledge about the world with
respect to their personal beliefs about the world (Hofer, 2012).
Conceptual change
research has not faired much better, and suffers from a
punctuated view of conceptual
change that has been dominated by pre-post testing strategies
rather than process studies
(diSessa, 2010). According to Hofer (2012), future research
needs to find relations
between psychological constructs and epistemological
frameworks in order to improve
methodology and terminology such that comparable studies can
be conducted—thus
unifying the construct of personal epistemology within the
fields of education and
developmental psychology. Bendixen (2012) suggested that
little research on the
processes and mechanisms of epistemological change have been
done, and echo the call
by Hofer and Pintrich (1997) for more qualitative studies
examining the contextual
factors that can constrain or facilitate the process of personal
epistemological theory

change. Moore (2012) cited the need for research addressing the
debate over domain-
general versus domain-specific epistemic cognition in terms of
the features of learning
environments that influence learning and produce qualitative
changes in the complexity
of student thinking.
5
Wiser and Smith (2010) described some of the deep
connections that exist
between concept formation, ontology, and personal
epistemology, within a framework of
metacognitive control that is central to modeling phenomena
through both top-down and
bottom-up mental processes. These sorts of cognitive
developments depend on the ability
to use representational systems that are rational (mathematics)
and/or metaphorical
(natural language), within a methodological context that is
empirical (measurement) in
nature. The student’s transition …

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