Suchergebnisse

La Aloreña de Málaga es una variedad de aceituna de mesa autóctona del Valle del Guadalhorce y la Sierra de las Nieves, con una demarcación muy concreta (19 municipios) siendo muy apreciada dentro y fuera de la provincia de Málaga. Fue la primera aceituna de mesa en España en obtener el sello de calidad de DOP (BOJA nº215, 2009). El volumen de producción de este tipo de especialidad de aceitunas de mesa es de aproximadamente 3.500- 4.000 ton/año según datos estimados por el Ministerio de Agricultura (http://www.aica.gob.es/) y contrastados con las declaraciones de los industriales, realizadas por el Consejo Regulador. Por lo tanto, la producción no es muy elevada comparada con otros tipos de elaboraciones como son las aceitunas verdes estilo español o sevillano. Sin embargo, su elaboración aún hoy en día se sigue realizando de manera muy artesanal (un aspecto este altamente valorado por los consumidores), y es llevado a cabo en industrias de pequeño tamaño (650). De este modo, se han estudiado los niveles poblacionales de aerobios mesófilos, levaduras, bacterias lácticas, enterobacterias, esporulados, presencia de Listeria, Salmonella, Clostridium y Staphylococcus coagulasa positivos. En base a los resultados obtenidos, se generó un modelo matemático que estimó el grado de cumplimiento higiénico-sanitario del proceso de elaboración de este tipo de aceituna de mesa mediante un sistema de ponderación (basado en la legislación presente y opiniones de expertos) y modelo probabilístico de gestión del riesgo. La contribución relativa de cada fase a la calidad y seguridad del producto final fue evaluada y ponderada por un panel de expertos (n=25) del ámbito científico y del sector de la Aloreña de Málaga. No se ha detectado en ninguna empresa la presencia de especies patógenas que puedan suponer un riesgo para los consumidores. La etapa de aliño ha resultado ser la más crítica dentro del proceso, ya que las hierbas aromáticas y diversos ingredientes que se utilizan en el mismo presentan una elevada carga microbiana que se añade directamente a los envasados sin ningún tipo de tratamiento previo. También es recomendable reducir el número de microorganismos en el ambiente y un mayor control de las aguas destinadas al consumo humano. Se observó asimismo que el grado de cumplimiento higiénico-sanitario determinado por el sistema de evaluación desarrollado aumenta conforme se acercan las etapas finales del proceso, las cuales resultan ser las más seguras. Con toda la información obtenida, se ha desarrollado un protocolo y procedimiento científico que puede ser utilizado por las empresas del sector para estandarizar sus procesos, valorar cuantitativamente el grado de cumplimiento higiénicosanitario de las diferentes etapas de producción y predecir los efectos de la introducción de medidas correctoras sobre la calidad y seguridad de los productos finales. ; The Aloreña de Málaga table olive is an autochthonous variety from Guadalhorce Valley and Sierra de las Nieves region, with a confined demarcation (19 municipalities) being well appreciated inside and outside Malaga province. It has been the first table olive with Protected Designation of Origin (PDO) in Spain (BOJA No. 215, 2009). The production volume of this table olive speciality is below 3,500-4,000 ton according to estimated records of the Ministry of Agriculture ((http://www.aica.gob.es/) and further verified with the interviews performed by the Regulatory Council to industrials. Thus, production is limited in comparison to other elaborations such as the Spanish table olive style. However, its elaboration is still very artisanal (which is highly appreciated by consumers), being carried out by SMEs with less than 20 operators. These industries have a great interest in optimizing and improving the transformation processes in order to obtain a valorised product with high quality and safety standards, which is currently requested by the large distribution chain. This Doctoral Thesis is focused on providing additional knowledge about the transformation processes of Aloreña de Málaga table olives as well as to evaluate the effect of new changes on quality and safety of final products. In this sense, the Doctoral Thesis is divided into two sections. In the first section, novel methodologies such as metagenomics and statistical modelling are applied with the aim to gain knowledge about how different modifications (reduction of sodium chloride, inclusion of resting periods to table olives, and application of heat treatments) can affect to the elaboration process. In the second section, the hazard analysis and critical control points from various industries were evaluated in different campaigns in order to determine the fulfilment of hygienic-sanitary conditions through the performance of physicochemical and microbiological analyses along the production chain. Information generated will allow the further development of a scientific procedure based on advanced mathematical models and different weighing values to improve food quality and safety management in industries. To study the effect of sodium chloride reduction and the addition of a resting period of fruits during fermentation and posterior table olive preservation, 1,500 kg of olive fruits were collected and placed in containers with different preservation brines and varying concentrations of acetic acid, citric acid and salt, either directly or with a resting period of table olives at room temperature (72 h, 25ºC). Afterwards, the main physicochemical and microbiological parameters were monitored during 1 year. The presence of a high amount of acetic acid together with the absence of sodium chloride did not negatively affect the evolution of the main physicochemical parameters, though differences existed according to the assayed treatments. The elaboration process was marked by a rapid inhibition of Enterobacteriaceae population, as well as by a growth of lactic acid bacteria (just at the end of the process) and specially, by the yeasts growth, which were continuously present reaching concentration levels up to 6 log10 CFU/mL. One of the first applications in food microbiology of a functional data analysis model programmed in R was presented. The model allowed a smart comparison of the different assayed treatments, providing additional information on the rate and acceleration of changes in the elaboration process through the calculation of means, maximal and minimal values. Model fitting showed that yeasts population was very similar among the evaluated treatments, though significant differences existed for some fermentation treatment times. Nevertheless, larger differences were found for pH evolution, specially during the first 3- month process, being then stabilized after all treatments until a pH of 4.0 units approximately. Next Generation Sequencing techniques were subsequently applied to study fermentation and preservation processes of Aloreña de Málaga table olives. To do this, four fermentation containers were monitored (approximately 500 kg of table olives) at the food industry during a 4-month period by performing physicochemical and microbiological (Enterobacteriaceae, lactic acid bacteria and yeasts) analyses. From a microbiological point of view, fermentation took place normally, being yeasts the only population group showing growth while lactic acid bacteria and Enterobacteriaceae were not present during fermentation. During the 4-month fermentation period metagenomic analysis of brines and fruit samples were carried out with the aim of studying the ecology of bacterial (16S) and fungal populations (ITS). This methodology allowed detecting with relative frequency bacteria genera not being previously described in this product such as Celerinatantimonas, Pseudomonas and Propionibacterium among the bacterial groups, and Penicillium, Pichia and Zygotorulaspora among yeasts and moulds. There was not any pathogenic microorganism in the fermented table olives studied by what microbial food safety was ensured. Therefore, the application of this culture independent technique has extended the microbial spectrum of bacterial species not being previously detected by conventional culture dependent techniques. The potential role of these microbial groups on the final product quality is still to be determined. One-hundred kg. of cracked olives (destined to the elaboration of traditional table olives) and whole olives (destined to the elaboration of cured table olives) were collected to study the effect of a previous heat treatments on the fermentation process of olive fruits together with their organoleptical characteristics. These fruits were submitted to a heat treatment which consisted on a water immersion at 60ºC for 5 min before placing them in brine. Afterwards, fermentations were monitored during a study period longer than 5 months. Performance of this heat treatment in table olives previously to their transferring to brines enhanced lactic acid fermentation, with a higher sugars consumption, free acidity production and pH drop, which guaranteed the stability of olive fruits. In the heat-treated fermented table olives, population levels of lactic acid bacteria reached 5 log10 CFU/mL, while in those brines without a heat treatment, this microbial group was not detected. Improvement of fruit coloration (luminosity, green colour etc.) was observed in those fruits undergoing a heat treatment during fermentation and packaging steps. The great advantage of the applied heat treatment was subsequently confirmed by the improvement in the stability and acceptability of table olives once packaged. Indeed, 41 days after packaging, the products having the highest proportion of olive tasters who would consume them and would purchase the packaging, corresponded to the traditional heat-treated table olives. The acceptability percentages sparsely varied between 4 and 41 after packaging, which did not occur with the rest of assayed treatments. Finally, the metagenomic analysis performed at the end of the fermentation period to all elaboration types, and between treated and non-treated olive fruits revealed that the bacteria genera Lactobacillus, Pediococcus and Celerinatantimonas were present in all elaborations in both fruits and brines, and that prevalence of Lactobacillus was significantly higher in heat-treated olive fruits, which confirmed the improvement of lactic acid fermentation by the heat treatment applied. Finally, in the present Doctoral Thesis three representative companies of the Aloreña de Málaga table olive sector were visited during three consecutive campaigns (13/14, 14/15, y 15/16). Physicochemical and microbiological analyses (>650) were performed corresponding to environmental control samples, equipment surfaces, food handlers, olive fruits, olive dressings, brines, and potable water. In this way, population levels of mesophilic bacteria, yeasts, lactic acid bacteria, sporulated bacteria, together with presence of Listeria, Salmonella, Clostridium and coagulase positive Staphylococci, were analysed. Based on the obtained results, a mathematical model was developed to estimate a Performance Hygiene and Safety Score (PHSS) of the elaboration process of this table olive type by means of a weighing system (based on current legislation applied and experts opinions) together with a probabilistic decision-making model. The relative contributions of each processing step to final product quality and safety were evaluated and weighted by a scientific expert panel (n=25) together with industrials from the Aloreña de Málaga table olive sector. There was not any food company having presence foodborne pathogens during the whole study period. Addition of olive dressings has resulted to be most critical processing step, since aromatic herbs and diverse ingredients used presented a high microbial load which is directly added to the packaged products without a posterior heat treatment. It is also recommended to reduce the environmental contamination as well as a more intensive control of the potable water destined to human consumption. Likewise, it was observed that the PHSS values determined by the developed mathematical model increased according to the final processing steps, being the safest ones. With the information obtained, a protocol and scientific procedure was performed, which can be used by industrials in order to standardize their elaboration processes, to quantitatively assess the degree of fulfilment of hygienic-sanitary conditions of the different production steps and to predict the effect of corrective measures on final products quality and safety.

Technical Report 2018-08-ECE-137 Technical Report 2002-09-ECE-006 Engineering of Enterprises a Transdisciplinary Activity Murat M. Tanik Ozgur Aktunc John Tanik This technical report is a reissue of a technical report issued September 2002 Department of Electrical and Computer Engineering University of Alabama at Birmingham August 2018 Technkal Report 2002-09-ECE-006 Engineering of Enter·prises A Transdisciplim•ry Activity Murat M. Tanik Ozgur Aktunc John Tanik TECHNICAL REPORT Department of Electrical and Computer Engineering University of Alabama at Birmingham September 2002 ENGINEERING OF ENTERPRISES A TRANSDISCIPLINARY ACTIVITY OVERVIEW Contributed by: Murat M. Tanik, Ozgur Aktunc, and John U. Tanik This module is composed of two parts: Part I surveys and defines Enterprise Engineering in the context of transdiscipline. Part II introduces Internet Enterprise and addresses engineering implementation consider ations. PART I ENTERPRISE ENGINEERING ESSENTIALS 1 INTRODUCTION When Henry Ford rolJed out his first automobile assembly during 1913, he created the archetype of single-discipline enterprise. Ford's adventure was a self-contained and efficient exercise in mechankal engineering. With no competition, no regulatory constraints, and no pressing need for cross-disciplinary partnerships, from design development to process development, all ideas primarily originated from Ford's own engineers. The world is a different place today. Automobiles are complicated hybrids of mechanical, electrical, electronic, chemicaJ, and software components. Modern 4 manufacturers must now pay dose attention to new technological developments in hardware (mechanisms associated with physical world), software (mechanisms associated with computational world), netware (mechanisms associated with communications), and peopleware (mechanisms associated with human element). The changes experienced in the automotive industry exemplify the needs of the ever increasingly complex nature of today's modern enterprise. In other words, the ubiqui tous existence of the ";computing element" forces us to take into account disciplinary notions, ranging from psychology to ecology. In one word, the world is becoming transdisciplinary. In this world of transdisciplinary needs, we need to approach designing of enterprises as engineers, moving away from the traditional ad hoc approach of the past. This module expl ai n~ the changes to be made to current enterprise organization in order to be successful in the networked economy. A brief definition of Enterprise Engineering is given as an introduction, foJJowed by a summary of Enterprise Engineering subtopics, namely modeling, analysis, design, and implementation. In the last section of Part I, the definition of an intelJigent enterprise is made with an emphasis on knowledge management and integration using Extensible Markup Language (XML) technology [1]. 2 DEFINITION The Society for Enterprise Engineering (SEE) defined Enterprise Engineering as ";the body of knowledge, principles, and practices having to do with the analysis, design, implementation and operation of an enterprise" [2]. Enterprise Engineering methods include modeling, cost analysis, simulation, workflow analysis, and bottleneck analysis. 5 In a continually changing and unpredictable competitive environment, the Enterprise Engineer addresses a fundamental challen ge: ";How to design and improve all elements associated with the total enterprise through the use of engineering and analysis methods and tools to more effectively achieve itsgoals and objectives" [3]. Enterpr.ise Engineering has been considered as a disdpline after its establishment in the last decade of the 20th Century. The discipline has a wor]dvicw that is substantial enough to be divided into sub-areas, with a foundation resting on several reference disciplines. In the Enterprise Engineering worldview, the enterprise is viewed as a complex system of processes that can be engineered to accompli sh specific organizational objectives. Enterprise Engineering has used several reference disciplines to develop its methods, technologies, and theories. These reference disciplines can be listed as the following: Industrial Engineering, Systems Engineering, Information Systems, Information Technology, Business Process Reengineeling, Organizational Design, and Human Systems [2]. 2.1 Understanding Enterprise Engineering Like most engineering profession als, Enterprise Engineers work on four main areas: modeling, analyzing, design, and implementation. One important issue facing Enterprise Engi neering is the development of tools and techniques to support the work of analyzing, designing, and imp1ementjng organizational systems. These tools must assist enterprise engineers in the initial transformation of functional, often disjoint, operations into a set of integrated business processes replete with supporting information and control systems [4]. To develop new models of enterprises, the enterprise should be analyzed 6 using process analysis, simulation, activity-based analysis, and other tools. Also an abstract representation of the enterprise and the processes should be modeled in a graphical, textual, or a mathematical representation. The . design issues in Enterprise Engineering consist of developing vision and strategy, integration and improvement of the enterprise, and developing technology solutions. Lastly, implementation deals with the transformation of the entetprise, integration of corporate culture, strategic goals, enterprise processes, and technology. We will take a look at these areas in the fol1owing section: • Enterprise Engineering Modeling (EEM), • Analyzing Enterprises, • Design of Enterprises, and • Implementation. 2.2 Enterprise Engineering Modeling Enterprise Engineering Modeling (EEM) is basically dealing with the abstraction of engineering aspects of enterprises and connecting them to other business systems. The model encompasses engineering organizations' products, processes, projects, and, ultimately, the ";engineered assets" to be operated and managed. EEM coordinates design and deployment of products and assets at the enterprise level. It integrates engineering information across many disciplines, allows engineering and business data to be shared through the combinatjon of enterprise IT (information technology) and engineering IT, and simulates the behavior of intelligent, component­based models [5). 7 The selection and design of enterprise processes for effective cooperation is a prime objective of Enterprise Engineering. Enterprise models can assist the goal of Enterprise Engineering by helping to represent and analyze the structure of activities and their interactions. Models eliminate the irrelevant details and enable focusing on one or more aspects at a time. Effective models also facilitate the discussions among different stakeholders in the enterprise, helping them to reach agreement on the key fundamentals and to work toward common goals. Also it can be a basis for other models and for different information systems that support the enterprise and the business. The enterprise model will differ according to the perspective of the pers.on creating the model, including the visions of the enterprise, its efficiency, and other various elements. The importance of an enterprise model is that it wm provide a simplified view of the business structure that will act as a basis for communication, improvements, or innovations and define the Information Systems requirements that are \ necessary to support the business. The term business in this context is used as a broad term. The businesses or the activities that can be represented with Enterprise Engineering models do not have to be profit making. For example, it can be a research environment with the properties of an enterprise. Any type of ongoing operation that has or uses resomces and has one or more goals, with positive or negative cash flow, can be referred to as a business [6]. The ideal business model would be a single diagram representing all aspects of a business. However this is impossible for most of businesses. The business processes are so complex that one diagram cannot capture all the information. Instead, a business model is composed of different views, diagrams, objects, and processes: A business 8 model is illustrated with a number of different views, and each captu~cs infmmation about one or more specific aspects of the businesses. Each view consists of a number of diagrams, each of which shows a specific part of the business structure. A diagram can show a ~1ructure (e.g., the organization of the business) or some dynamic collaboration (a number of objects and their interaction to demonstrate a process). Concepts are related in the diagrams through the use of different objects and processes. The objects may be physical such as people, machines, and products or more abstract such as instructions and services. Processes are the functions in the business that consume, refine, or use objects to affect or produce other objects. There are cunently hundreds of modeling tools for enterprises, and many modeling techniques such as Integrated Definition Language (IDEF), Petri-Net, Unified Mode1ing Language (UML), and meta-modeling. Modeling involves a modeling language and the associated modeling tools. Different enterprises may need different modeling tools according to the nature of the enterprise. Before selecting the modeling tool, a detailed analysis should be made to select the most appropriate modeling language and the tool. For the software industry, UML has become the standard modeJjng language [7]. 2.3 Enterprise Analysis The increasing complexity of enterprises has stimulated the development of sophisticated methods and tools for modeling and analysis of today's modern enterprises. Recent advances in information teclu1ology along with significant progress in analytical and computational techniques have facilitated the use of such methods in industry. 9 Applying Enterprise Analysis methods results in a documentation that supports a number of programs, which are as follows: strategic information resource planning, information architecture, technology and services acquisition, systems design and development, and functional process redesign. Most organizations have a wealth of data that can be used to answer the basic questions supporting strategic planning: who, what, where, and bow much. By modeling with these data using an Enterprise Analysis toolset, the enterptise models can be built incrementally and in less time. The most important use of Enterprise Analysis is that it presents the organization's own business, demographic, and workload data in a compelling manner to tell the story. Whether they are used to support programs for acquisitions, information architectures, or systems development, Enterprise Analysis studies are rooted in the business of the organization and thus are easily understood and supported by executive management. 2.4 Enterprise Design The design of an enterprise deaJs with many issues, including development of a vision and a strategy, the establishment of a corporate cu.lture and identity, integration and improvement of the enterprise, and development of technology solutions. Optimization of several perspectives within an enterprise is the objective of Enterprise Design. Examples of enterprise perspectives include quality, cost, efficiency, and agility ,. and management perspectives s uch as motivation, culture, and incentives. For example, consider the efficiency perspective. The modeling task will provide ontologies (i.e., object libraries) that can be used to construct a model of the activities of a process, such as its resource usages, constraints, and time. Based on these models the efficiency 10 perspective will provide tools to design, analyze, and evaluate organizational activities, processes, and structures. These tools will also be capable to represent and model the current status of an enterprise and to analyze and assess potential changes. One issue is wbetber there exists sufficient knowledge of the process of designing and optimizing business activities/processes to incorporate in knowledge-based tools. The main goal of an Enterprise Design application is to deveJ~p a software tool that enables a manager to explore alternative Enterprise Designs that encompass both the stmcture and behavior of the enterprise over extended periods of time. lssues such as motivation, culture, and incentives are explored, along with other relevant parameters such as organizational structure, functions, activity, cost, quality, and information [8]. 3 STRATEGY FORMULATION FORE-BUSINESS Electronic commerce is becoming a growing part of industry and commerce. The speed of technological change is enabling corporations large and small to transact business in a variety of ways. Today, it is routine practice to transact some aspect of business electronically from e-mail to exchanging data via Electronic Data Interchange (EDI), World Wide Web (WWW), and various shades these technologies. Numerous benefits accrue to corporations when they use automated capabilities. In order to maximize such benefits, electronic enterprises must base their efforts on welJ­developed strategies. In this manner, tbe probability of success is increased many folds. Embarking on electronic commerce or business should never be thought of as the sole quest of the information systems department. The following strategies are a synthesis of II best practices introduced to assist information systems departments to prepare the organization for the information age [9, 1 0]. 3.1 Strategy 1 - Improve Corporate System DeveJopment Skms In addition to developing technical skills, corporations must pay close attention to effective communication, eliminating cross-functional language barriers, and improving inadequate facilities in geographically dispersed systems. 3.2 Strategy 2 -Build a Proactive Infrastructure There must be a constant effort to keep up with technological changes. Frequently, these changes trickle down from the top as a result of various business strategies. For example, top managers may discover that they need video-conferencing capability, and the information technology people are under pressure to deliver it. This kind of approach will put the chief information officer(CIO) in a reactive posture, trying to put out fires as they appear. In putting out such fires, local resources may be used to satisfy higher level needs without any obvious benefits to local managers who may resent this fact and create barriers against success. CIOs should try to get the cooperation of all users in anticipating system needs. If users are not satisfied with an imposed system, they wiiJ try to build their bootleg systems for their own needs. Thus, project needs should be anticipated as far as possible and should be planned to meet both short-term goals of management and yield benefits for the development of the infrastmcture of the corporation in the Jong term. 12 3.3 Strategy 3 - Consolidate Data Centers A corporation embar1dng on developing an e-business system must realize that there do already exist semiautonomous data centers distributed throughout various geographical locations. There may have been a time when such data centers were desirable. Today, e-business demands integrated information systems, and the data centers must be consolidated. An integrated information system is far more effic ient in controlling corporate operations. Obviously, operating fewer facilities, maintaining minimum levels of inventory, and giving better service to customers will bring handsome returns to corporations. During the consolidation process, a number of problems of compatibility and standardization will occm, but tackling such problems is better than having semiautonomous data centers. 3.4 Strategy 4 - Standardize Data Structures As corporations grow, different data processing systems and data centers proliferate, especiaUy in transnational corporations. Consolidating data centers and systems as suggested in strategy 3 may not be sufficient. Corporations need to determine data needed at global levels and standarclize them. Standardization may not be possible for certain applications in an international setting since regulatory accounting of different countries may be a roadblock. However, this should not be taken as a signal for non­standardization. Standardization will make useful information available throughout the corporation. For example, these days many corporations are adapting XML as part of data stmcture consolidation strategy. XML issues are addressed in the next section with more detail. 13 3.5 Strategy 5 - Accommodate Linkages with Cui-rent Strategic Allies and Provide Expansion for Future Str ategic Alliances Recent developments in globalization and Internet technology are spurring corporations to form sliategic alliances. Automobile manufacturers are, for example, forming alliances to influence prices and qualities of their raw materials and parts purchases. Similar alliances are growing at an accelerated pace in other industries. These alliances are designed to create not only purchasing power but also a variety of other mutual interests, from technological co-operation to joint production. 3.6 Strategy 6 - Globalize Human Resource Accounting As companies centralize their information systems through computerization, a global inventory of human skills should be developed. Frequent human resource problems arjse when Information Systems (IS) personnel focus locally rather than globally. Recmiting of specialists, for example, must be done not with a local perspective but with a global one. This will help eliminate possible redundancies with potential savings. 4 INTELLIGENT ENTERPRISES Enterprises competing in global markets assume complex organizational forms such as supply chain, virtual enterprise, Web-based enterprise, production network, e-business, and e manufacturing. Common traits of these organizations are willingness to cooperate, global distributed product development and manufacturing, and high coordination and communication. These traits have led the trend of transformation from 14 capital intensive to intelligence intensive entetprises [1 1]. Visions of the organization's future e-Business roles as an intelligent enterprise could be formulated as follows [12]: • Transparent - Intelligent enterprises will contain substantial amounts of information on capabilities, capacities, inventories, and plans that can be exchanged between tools, servers, and optimizing agents that will augment capabilities of their human masters. • Timely - Intelligent enterprises will be designed to meet a customer need exactly when the customer wants it. • Tuned - Through collaboration and sharing of knowledge, the intel1igent enterprise wiJl serve customer needs with a mjnimum of wasted effort or assets. 4.1 Knowledge Management and Integration with XML One important challenge for enterprises today is storing and reusing knowledge. For many organizations, up-to-dale knowledge of what is relevant and important to customers distinguishes their offerings. The challenge is to assimilate this rapidly changing knowledge about products and services quickly and distribute it rapidly to leverage it for improved performance and quality service. This means finding all knowledge that is embedded in and accessed through technologies and processes and stored in documents and external repositories and being able to share it quickly with the customers. The capital-based organization needs to transform into bigh-perforrn.ing, process­based, knowledge-based enterprises, characterized by agility, f lexibility, adaptability, and willingness to learn. To overcome the difficulties during the transformation, powetful tools are needed to manage the knowledge within the enterprise and to develop the 15 communication between the company and the customers. The key tool to be used within this process is XML, which will set the standards of communication and wm help to manage the knowledge [13]. To understand how XML will help us managing the knowledge, a def111ition of a knowledge-based business is needed. 4.2 Knowledge-Based Businesses The following six characteristics of knowledge-based business were defined in Davis and Botkin [14]. ~hese characteristics are actually guidelines for businesses to put their information to productive use. 4.2.1 The More You Use Knowledge-Based Offerings, The Smarter They Get This characteristic fits in the customer-defined offerings the companies give. For example, a credit card company can build a system that could understand the buying patterns of a customer that can protect the customer from fraud. A news agency can change the interface of its system to give the type of news that a newspaper or journal requests. Knowledge-based systems not only get smcuter but also enable their users to learn. For example, General Motors' computer-aided maintenance system not only helps novice mechanics to repair automobiles but also helps expe1t mechanics to refine their knowledge. As the technology advances, the amount of information that a mechanic needs to know expands rapidly. With tllis system a mechanic can leverage the knowledge of all mechanics using the system. As a result, the system continually improves, as does the service quality. 16 4.2.2 Knowledge-Based Products And Services Adjust To Changing Circumstances When knowledge is built into a product, the product may adjust itself in a smart manner to changing conditions. For example, a glass window that may reflect or transmit sunlight according to temperature is such a product. Producing tbese producl:s will not only be marketed well but also have important economical advantages. Tbe smart pr~ducts will guide their users as well. 4.2.3 Knowledge-Based Businesses Can Customize l1teir Offerings Knowledge-based products and servkes can determine customers' changing paltems, idiosyncrasies, and specific needs. For example, a smart telephony system can understand which language will be used on specific num bers~ also by using the voice recognition system, the need for telephone credit cards can be diminished. 4.2.4 Knowledge-Based Products A11d Services Have Relatively Short Life Cycles Many knowledge-based products have short life cycles, because they depend on the existing market conditions; their viability is short-lived. For example, the foreign exchange advisory services offered by a commercial bank are highly specialized and customized for corporate clients. Such services should be constantly upgraded to keep the profits and the proprietary edge. 4.2.5 Knowledge-Based Businesses Enable Customers To Act In Real Time Information becomes more valuable when it can be acted on constantly. A system that will deliver the tour book information while you are driving the car will have a great 17 value. An interactivity. added to the system will make the product's value even higher. Knowledge-based products can also act in real time. For example, a copier machine that calJs the maintenance provider when an error occurs wiJJ have a great value in this sense. 4.3 XML's Role in Business Applications The smallest cluster of knowledge is data. These are basic building blocks of information that come in four particular forms: numbers, words, sounds, and images. Manipulation of the data determines its value. The arrangement of data into meaningful patterns is information. For example, numbers can be arranged in tables, which is information; a series of sounds, which is music, can also be considered as information. Today, an important challenge for Internet-based businesses is using the information efficiently and in a productive way that will upgrade the information to knowledge. Thus, we say that knowledge is the application and productive use of information. The shift from the information to knowledge age will be via technology. The new enabling technologies of software development such as XML, J2EE, and Visual Studio are forcing e-businesses to build knowledge-based businesses. Here we will explain the most important enabling technology, XML, within the development of e~businesses. XML can be used effecti~ely for exchanging of business documents and information over the Internet. XML is a standard language that simultaneously presents content for display on the Intemet and describes the content so that other software can understand and use the data. Therefore XML can be a medium through which any business application can share documents, transactions, and workload with any other 18 business application [15]. In other words, XML can become the common language of e­busi. ness and knowledge management. One impmtant property of XML is providing .information about the meaning of the data. Thus, an XML-Jonnatted document could trigger a software application at a receiving company to launch an activity such as shipment loading. But to provide that level of data integration, trading partners would have to agree on definiti ons for the various types of documents as well as standard ways of doing business. In addition to facilitating e-commerce, having common defini tions and uses for data also enable an enterprise to better leverage the .knowledge ctmenrly stored in information silos. XML supports the searching and browsing of such information sHos [16]. It structures documents for granularity, such as alJowing access to sections within documents and fine-tuning retrieval Also, it annotates documents, which enables users to not restrict themselves to what is in the document. XML organizes documents by classifying documents into groups and supports browsing them. AdditionaiJy, it has Hyper Text Markup Language (HTML)-like linking options that help the information users to find the documents they arc seeking. Fig. I shows the tools that are common in the organization of information through XML. XML is the next evolution in knowledge management, and organizations are beginning to understand the potential of this technology to develop enterprise-wide information architectures. As a technology, XML does not bring any value to an organization. The value of XML wHI depend on how it js used within a company. The agreement on data definitions within an enterprise has always been a hard task. At rn.inlmum, XML should be implemented strategically within the organization. Ideally, the 19 Annotate Documents I RDF I Schemas J:: I XML I (.---, X-Poin- ter--, Fig. 1. Organization of information through XML. implementation should include strategic partners and other organizations that have a need to share data and information. XML is a majm advance in the standardization of information sharing across traditional information boundaries, both internal and external Information security and privacy issues are major concerns revolving around customer and corporate data flowing across wires. Successful knowledge management in a company often depends on having access to information outside the enterprise walls. XML can also be of value here by helping to improve the functioning of supply chains and the extranet. In conclusion, it becomes obvious that managing knowledge requires better tools. We need to create systems that manage documents, as people would do, and we know that better tools need better documents. Thus by building on a solid knowledge management strategy using XML, we believe an organization can gain competitive differentiation in the near future. 20 PART II INTERNET ENTERPRISE IMPLEMENTATION CONSIDERATIONS 1 INTRODUCTION In the first section of this module we introduced essential elements of enterprise engineering in abstract and general terms. Building on the notions explored in the first section, we will address here, specifics concerning designing and implementation of Internet enterprises. In this section, a review is provided of the key concepts and concerns an Internet enterprise engineering (IEE) project would encounter and need to address. Business engineering fundamentals, technologies, and strategies for the lrlternet such as Unified Modeling Language, Cosmos Model, Enterprise Maturity Model, Web Business . Models, Methods of Electronic Transaction, Online Contracts, Security Protocols, selected integrated development tools, Next Generation Internet, and Internet2 arc covered. Over 20 occupational roles within IEE are identified and described separately. A technology implementation platform and strategy are introduced, along with marketing and customer retention technologies and strategies on the Internet A detailed overview is provided of the various Internet business tools, technologies, and terminology for the systematic construction of new ventures on the Internet l7]. For convenience, all these issues are summarized in table fmm at the end of this section. 2 BUSINESS ENGINEERING FUNDAMENTALS 2.1 UML: Officially introduced in November 1997, UML has quickly become the standard modeling language for software development [6]. It bas a business model approach that provides a plan for engineering an orchestrated set of business functions. It 21 provjdes a framework by which business is to be performed, allowing for changes and various improvements in the process. The model is designed to be able to anticipate changes in business function in order to maintain an edge on the competition. One of the advantages of modeling in UML is that it can visually depict functions, relationships, and paradigms. UML is a recommended tool for business analysts to break down a large-scale business operation into its constituent parts. Capturing a business model in one diagram is not realistic, so it should be noted that a business model is actually composed of a number of different views. Each view is designed to capture a separate purpose or function without losing any important overall understanding of the business operation. A view is composed of a set of diagrams, each of which shows a specific aspect of the business structure. A diagram can show a structure or a kind of dynamic collaboration. The diagrams contain objects, processes, rules, goals, and visions as defined in the business analysis. Objects contain information about mechanisms in the business, and processes are functions that use objects to affect or produce other objects. Object­oriented techniques can be used to describe a business. There are similar concepts in business functions that mn parallel to object-oriented techniques of design­conceptualization. Another advantage of UML is derived from the ability of business modelers and software developers to use the same conceplualization tools and techniques to achieve a common business end. Additionally, the power of UML is derived :from its ability to transcend tbe standard organizational chart [ 17]. 22 2.2 Cosmos Model: A generic approach for a business to manage change is through a holistic framework as described by Yeh in his three-dimensional model called Cosmos (Fig. 1). One of the important aspects of this model is that three dimensions exist interdependently because each dimension behaves as an enabler and an inhibitor to the other dimensions. The ";activity structure" dimension covers how work is structured in an organization, factoring in the steps and tasks that are taken to achieve an appropriate level of workflow. The ";infrastructure dimension" covers how resources are allocated and factors in the assets of an enterprise. The ";coordination dimension" covers how information is created, shared, and distributed. The cultural aspects of the enterprise are factored in here. The Cosmos model provides a conceptual space bounded by concrete factors for successfully navigating from one point of an organizational situation to another. Infrastructure Long-term vs. short-term objectives Activity Structure Stability vs. Flexibility Target Coordination Structure Modu]arity vs. Interconnectedness Fig. l. Cosmos model--holistic framework for managing change. [13) 23 The Cosmos model is an abstract tool for managers to guide their company along the best possible path. The trade-offs between the three dimensions at each point in the journey along the path are what the manager must determine to be most effective and best for the organization as a whole. In the case of work structure, there is an inherent trade­off between stability and flexibility. In the case of a coordination structure, there is a tradeoff between strictly aligning of human resources with company objectives and providing each operating unit with sufficient autonomy. More autonomous organizations are generally organized with a greater degree of modularity, allowing for the ability to make rapid decisions by adapting to changing market conditions. In the case of infrastlucture, there is a trade-off between seeking short-term gain versus long-term gain. Overall, the Cosmos mode] provides an executive or project manager with another technique to visualize the overaJJ situation and path of an organization by laking into account the three dimensions that correspond to the three main forces that affect its future [ 18]. 2.3 Enterprise Maturity Model: In order to characterize a business in terms of its level of maturity, focus, activity, coordination, and infrastructure, please refer to Table l, provided by Yeh [18]. The table provides an overview of the various levels of enterprise maturity. 2.4 Web Business Models: Entrepreneurs who wish to start e-businesses need to be aware of e-business models and how to implement them effectively. The combination 24 of a company's policy, operations, technology, and ideology defines its business model. Table 2 describes in more detail the types of business models in existence today [6, 19]. 2.5 IVIethods of Elech·onic Transaction: There are various methods and mechanisms that merchants can collect income through electronic transactions. Table 3 provides the types of transactions covered such as credit card, e-walJets, debit cards, digital currency, peer-to-peer, smartcards, micro-payments, and e-billing [19]. 2.6 OnJine Contracts: An online contract can be accomplished throt1gh the use of a digital signature. Digital signatures are the electronic equivalent of written signatures. The Electronic Signatures in Global and National Commerce Act of 2000 (E-sign Bi11) recently passed into law were developed for use in public-key cryptography to solve the problems of authentication and integrity. The purpose of a digital signature is for electronic authorization. The U.S. government's digital authentication standard is called the Digital Signature Algorithm. The U.S. government also recently passed digital­signature legislation that makes digital signatures as legally bindiqg as handwritten signatures. This legislation is designed to promote more activity in e-business by legitimizing online contractual agreements. 2.7 Security Protocols: Netscape Communkations developed the SSL protocol, developed as a non-proprietary protocol commonly used to secure communication on the Internet and the Web. SSL is designed to use public-key technology and digital 25 certificates to authenticate the server. in a transaction and to protect private information as it passes from one party to another over the Tnternet. SSL can effectively protect information as it is passes through the Internet but does not necessarily protect private information once stored on the merchant's server. An example of private information would be credit card numbers. When a merchant receives credit-card information with an order, the information is often decrypted and stored on the merchant's server until the order is placed. An insecure server wi th data that are not encrypted is vulnerable to unauthorized access by a third party to that information. SET protocol was developed by Visa International and MasterCard and was designed speci.tically to protect e-commerce payment transactions [20]. SET uses digital certificates to authenticate each party in an e-commerce transaction, including the customer, merchant, and the merchant's bank. In order for SET to work, merchants must have a digital certificate and special SET software to process transactions. Additionally, customers must have complementary digital certificate and digital walJet software. A digital wallet is similar to a real wallet to the extent that it stores credit (or debit) card information for multiple cards, as well as a digital certificate verifying the cardholder's identity. Digital wallets add convenience to online shopping because customers no longer need to re-enter their credit card information at each shopping site. 2.8 Integrated Tool Example: Drumbeat 2000: Macromedia Drumbeat 2000 is a tool capable of accepting and delivering complex infmmation and functionality through a web-interface [21]. The tool aids a visually skilled Web designer in competitively building a website without necessarily having to do any coding, which is useful in the 26 initial prolotyping phase. It is a tool that can interact with the back-end database with the ability to build a user-friendly client-side using Active Server Page (ASP) Web technology. ASP technology enables a real-time connection to the database, so any changes made to the database are immediately re flected on the client side. Macromedia D1umbeat 2000 claims to provide everything needed to build dynamic Web applications and online stores visually at a fraction of the typical development time and expense. The designers of Drumbeat 2000 also cl aim that the development environment can keep up with continuously evolving web technology, thus making it a future-oriented technology. 2.9 NGI: This initiatjve is a mulli-agency Federal research and development program began on October 1, 1997 with the participation of the following agencies: DARPA, DOE, NASA, NIH, NIST, and NSF (Table 4). These agencies arc charged with the responsibility of developing advanced networking technologies and revolutionary applications that require advanced networkjng. 2.10 Internet2: The Intemet2 is a consortium of over 180 uruversit ies leading the way towards a partnership with industry and government to develop advanced network applications and technologies in order to accelerate formation of a more advanced Internet. The primary goals of Internct2 are to create a leading edge network capability for the national research community, enable revolutionary Internet applications, and ensure the rapid transfer of new network services and applications to the broader Internet community. Through Intemet2 working groups and initiatives, Internet2 members are 27 collaborating on advanced app.lications, middleware, new networking capabilities, advanced network infrastructure, partnerships, and alliances [22). 3 OCCUPATIONAL ROLES IN illE In order to build, deploy, and maintain an Internet Enterprise, certain roles and positions most be filled for the organization to be effective. Table 5 lists and describes many of the relevant roles required within an enterprise initiative, such as Chief Privacy Officer (CPO), in addition to the more traditional organizational roles such as Chief Executive Ofilcer (CEO), Chief Technology Officer (CTO), and Chief Financial Officer (CFO) [20, 23]. 4 TECHNOLOGY IMPLEMENTATION AND STRATEGY 4.1 Microsoft Dotsmart Initiative: There are various approaches to imp.lementing strategic planning and technology implementations. For illustrative purposes, Microsoft is considered in this thesis to be one such approach for enterprise planning. Once the overall conceptualization and business pattern is created and a.ll the necessary occupational roles within the organization are identified, it is necessary to identify exactly which technology to utilize in order to build and implement the business venture. As the requirements of a business are analyzed, a useful guide is the Microsoft Dotsmarl Initiative. This mode of business analysis will help determine which business engineering concepts to use and what kinds of personnel are needed to 1un the operation. Additionally, the Microsoft Dotsmatt Initiative provides key points to address when building an Intemet operation from scratch. 28 4.2 Microsoft Technology Centers (MTCs): MTCs are areas designed for groups of entrepreneurs, Information Technology personnel, and businessmen for the rapid development. of robust e-commerce solutions. At these facilities, developers, entrepreneurs, and high-technology business persons use Microsoft Technology and the relevant knowledge to build enterprise solutions. The centers provide the essentials a team would need to develop an enterptise from the initial conception of the idea to launch. Microsoft provides essential equipment, support, and expe11ise, with an application of a ";best-practices" approach. These best practices have been tested before at MTCs, expediting the development progress and time to market. Laboratory sessions are designed to bring together an assortment of entrepreneurial individuals as they facilitate the development process using the latest Microsoft products. The MTCs offer customers wishing to capitalize on emerging Microsoft.NET technologies the service, infrastltlctme, and development environment to accelerate their projects and reduce thejr risk. The working laboratory is intended to help customers develop and test next-genera6on e-commerce technologies and demonstrate further the value of Windows platforms and other industry-standard systems for powering e­business. 4.3 Impact of XML: XML represents a more general way of defining text-based/ documents compared to Hypertext Markup Language (HTML). Both HTML and XML descend from Standard Generalized Markup Language (SGML). The greatest difference between HTML and XML is the flexibi lity of the allowable tag found in XML. An XML­based document can define its own tags, in addition to including a set of tags defined by a 29 third-party. This ability may become very useful for those applications that need to deal with very complex data structures. An example of an XML-based language is the Wireless Markup Language (WML). WML essentially allows text pm1ions of Web pages to be displayed on wireless devices, such as cellular phones and personal digital assistants (PDAs). WML works with the Wireless AppHcation Protocol (W AP) to deliver this content. WML is similar to HTML but does not require input devi ces such as a keyboard or mouse for navigation. In the case of a PDA thal requests a Web page on the Intemet, a WAP gateway receives the request, translates it, and sends it to the appropriate Internet server. In response, the server replies by sending the requested WML document. The WAP gateway parses this document's WML and sends the proper text to the PDA. This introduces the element of device portability. 4.4 Microsoft.Net Initiative: Microsoft announced a new generation of software called Microsoft .NET. This software is intended to enable every developer, business, and consumer to benefit from the combination of a variety of new Internet devices and programmable Web services that characte1ize NGI. Microsoft is trying to create an advanced new generation of software that wiiJ drive NGI. This initiative is called Microsoft.NET and it.s key purpose is to make information available at any time, in any place, and on any device. 4.5 Microsoft BizTalk 0 1·chestration: For IEE purposes, BizTalk Server 2000 is the considered a nex t-generation software that plays an important role in forming the infrastructure and tools for building successful e-commerce communities. The core of 30 BizTalk Server offers business document routing, transformation, and tracking infras tructure that is mles based. BizTalk Server offers many services that allow for quickly building dynamic business processes for smooth integration of applications and business partners while utilizing pubJic standards to ensure interoperability. Essentially, BizTalk server provides a method to build dynamic business processes quickly. 4.6 Back-end Configurations Using Microsoft Technology: In the design of the backend of a website, special considerations must be given to security. This is done by providing a kind of safety buffer from the greater world of the Internet using a demiUtarized-zone (DMZ) strategy. The components of a DMZ such as the firewall, the front-end network, the back-end nelwork, and the secure network function as a security buffer from the outside world. 4.7 Rapid Economic Justification (RE.fl: The REJ framework makes it possible for IT and business executives to demonstrate how specific investments in IT will eventually benefit the business, ensuring in the process that the IT projects are aligned with the specific business strategies and priorities. IT investments play a critical role in Internet enterprises. Important decision-making at the early stages of any venture does require an effective methodology to identify the best strategic IT investments. Leaders in the upper echelon of organizations such as CEOs, CTOs, and CFOs are being overwhelmed with complex information. REJ may prove to be a reliable method to quickly evaluate the true value worth and potential of a company by taking into consideration its intangible IT assets. 31 In the past, companies developed metrics for the valuation of IT investments on the basis of cost improvements. Metric methodologies have focused on Total Cost of Ownership (TCO), whereas the strategic role of IT in boosting new opportunities for business has been largely ignored. Understandably, the benefits of IT can be traced to ways of measuring business value the traditional way. Unfortunately, current business practices are not necessarily adequately equipped to handle the complexities of the New Economy. Although the economic justification of IT projects has been researched extensively in the past decade, the problem is that these metiJods and techniques require too much data-crunching power and time to prepare. These unwieldy research techniques need to be replaced by a new and practical approach to quantify swiftly and accurately the true value of IT investments. 5 MARKETING AND CUSTOMER RETENTION 5.1 Online Marketing: The Internet provides marketers with new tools and convenience that can considerably increase the success of their marketing efforts. An Internet marketing campaign such as advertising, promotions, public relations, partnering and Customer Relationship Management (CRM) systems are all an integral prut of the marketing process. Table 6 describes the various techniques at the marketer's disposal when using the Internet as the medium of customer information delivery [19]. 5.2 CRM Systems: CRM is a general but systematic methodology using both business and technological techniques to maintain and grow a business's customer base. CRM systems enable a business to keep detaj led records on the activity of its c ustomers 32 by using new, sophisticated tracking systems on the Internet. Table 7 shows various areas where CRM technology and CRM business techniques can assist in managing a customer base [19]. 5.3 Web Design Technology Example: Dreamweaver Technology: Macromedia Dreamweaver is Web technology for building websites on the Internet without the need for programming directly in HTivlL [21]. Also, Web designers are easily able to create Web-based leaming content with Dreamweaver 4.0. A Web designer has the ability to create site maps of the website that can be easily maintained and enhanced. This is a very popular technology available on the market that can be used to make professional quality websites for marketing and promotional purposes. 5.4 Web Enhancement Technology Example: Flash Technology: Macromedia Flash is a multimedia technology for applications on the Web. This technology gives the user, especially one not artistically talented, the ability to develop interactive animations that can look quite impressive. A flash movie can be embedded into a Web site or run as a standalone program, and Flash is compatible with Dreamweaver. Flash movies can be made with sound and animation, so it is useful as a software tool to produce demonstrations at the user-interface. Flash can be used on CD-ROMs and allows for the construction of cross-platform audio/video animations and still jmages. 33 \ 6 SUMI\-IARY TABLES We would like to reiterate emphasis areas for Electronic Enterprise as listed in the introduction of this module. These are a) hardware (mechanisms associated with physical world), b) software (mechanisms associated with computational world), c) netware (mechanisms associated with communications), and d) peopleware (mechanisms associated with human element) [23, 24]. Following tables provide a useful Jist in all these areas. For convenience, we include all summary tables in following order: Table 1 Enterprise Maturity Levels Table 2 Web Business Models Table 3 Electronic Transactions Table 4 NGI Participating Agencies Table 5 Occupational Roles in lEE Table 6 Marketing Techniques on the Internet Table 7 Customer Relationship Management 34 Table 1 Enterprise Maturity Levels Levels Focus Activity Coordination Infrastructure 5. Whole Human-society Process Self-directed teams Long-term oriented; in engineering dominate orientation, harmony with methodology workplace; toLal personal mastery, nature, people institutionalized; alignment; open, heavy investments routinely do the Flexible and honest in IT, continuous right things: predictable communication improvement change is second process, right the channels institutionalized nature first time, value- throughout adderl activities only 4. Wise Stakeholders and Process monitored Organjzational Organi:z.ation community automatically for structure based on competency oriented in high performance; cross-trained case management; harmony with dominated by teams; vision continuing community; value-added al igned with the education; team-people routinely activities; high needs of the based structure; doing things right. degrl:e of society tenm-oriented HR Changes are concurrency; few policy planned and handoffs mannged 3. Mature Customer oriented; Process defined Vision defined Integrated customer's needs and is measured with extensive capacity, are anticipated; buy-ins, multi- con sol ida ted people are proud to functional project function; work here teams exist; investment in participatory training and work culture with force planning; managers as flattened coaches organization 2. Stable Competition- Process under Internal focus, Short-term focus, oriented reactive statistical control; control oriented, fragmented bench-marking as functional division capacity, little IT, a result of reaction, hierarchical, inflexible process, difficult to get has many information, no handoffs and a formal HR policy substantial number of non-value-added tasks I . Ignorant Disoriented- Fire-fighting Ad- No clear vision, Don' t know where chaotic hoc, unpredictable, resources exist fragmented Rumor mill rampant 35 e-Business Model Storefront Model Auction Model Portal Model Dynamic Pricing Model Comparison Pricing Model Demand-Sensitive Pricing Model Table 2 Web Business Models Description The~ storefront model is what many persons think of when they bear the word e­business. The storefront model combines transaction processing, security, online payment and information storage to enable merchants to sell their products on lhe web. This is a basic form of e-commcrce where the buyer and seller interact directly. To conduct storefront c-commerce, merchants need to organize an online catalog of products, take orders through their Web sites, accept pnyments in a secure envi ronment, send merchandise to customers, and manage customer data. One of the most commonly used e-commercc enablers is the shopping cart. This order-processing technology allows customers to accumulate items they wish to buy as they continue to shop. www.amazon.com is a good example. Forrester Research reveals that an estimated $3.8 billion will be spent on online person-to-person auctions in the year 2000 alone. This number is expected to rise to $52 billion for Business-to-Business (B2B) auctions. Usually auction sites act as forums through which Internet users can log-on and assume the role of either bidder or seller. As a seller, you are able to post an item you wish to sell, the minimum price you require to sell it, your item, and a deadline to close the auction. As a bidder, you may search the site for availability of the item you are seeking, view lhe current bidding activity and place a bid. They usually do not involve themselves in payment and delivery. www.ebay.com is a good example. Portal sites give visitors the chance to find almost everything they are looking for in one place. They often offer news, sports, and weather, as weU as the ability to search the Web. Search engines are h01i zontal portals, or portals that aggregate information on a broad range of topics. Yahoo! at www.yahoo.com is an example of a horizontal portal. America Online (AOL) www.aol.com is an example of a vertical portal because it is a community-based site. The Web has changed the way business is done and the way products are priced. Companies such as Priceline (www.pricelinc.com) and Imandi (www.imandi.com) have enabled customers to name their prices for travel, homes, automobiles, and consumer goods. The name-your-price model empowers customers by allowing them to choose their price for products and services. The comparison pricing model allows customers to polJ a variety of merchants and find a desired product or service at the lowest price (i.e. www.bottomdollar.com). The Web has enabled customers to demand bener, faster service at cheaper prices. It has also empowered buyers to shop in large groups to achieve a group rate (i.e., www.rnercata.com). Customers become loyal to Mercata because it helps them save money. 36 e-Business Model Bartering Model Advertising Model Procurement Model B2B Service Provider Model · Online Trading Model Online Lending Model Online Recruiting Model Online Travel Service Model TabJe 2 (Continued) Description A popular method of conducting e-business is bartering, offering one item in exchange for anotiier. If a business is looking to get rid of an overstocked product, iSolve ~isolve.com) can help sell it PotenHal customers send their pricing pre ferences to the merchant who evaluates the offer. Deals are often part barter and part cash. Examples of items typically bartered are overstocked inventory items, factory surplus, and unneeded assets. Forming business models around advertising-driven revenue streams is the advertising model. Television networks, radio stations, magazines, and print media usc advertising to fund their operations and make a profit. www.Iwon.com is a portal site that rewards users with raffle points as they browse the site's content. www.freemerchant.com offers free hosting, a free store builder, a free shopping cart, free traffic logs, free auction tools and all the necessary elements for running an e-commerce storefront. Frccmerchanl makes money from its strategic partnerships and referrals. The procurement model means acquiring goods and services with effective supply chain management via a B2B Exchange. ICG Commerce Systems (www.icgcommerce.com) is a site that enables businesses, customers, suppliers, purchasers, and any combination of these to interact and conduct transactions over the Internet. The system supports B2B, B2C, and all variations of these models. · B2B service providers make B2B transactions on the Internet easier. These e-businesscs help other businesses improve policies, procedures, customer service, and general operations. Ariba (www.ariba.com) is a B2B service provider. The online trading model is essentially securities trading on the Internet. Trading sites allow you to research securities and to buy, sell, and manage all of your investments from your desktop; they usually cost less. Charles Schwab (www.schwab.com) is a notable example. Companies are now making loans online. E-loan (www.eloan.com) offers creditcard services, home equity loans, and the tools and calculators to help you make educated borrowing decisions. Recruiting and job searching can be done effectively on the Web whether you are an employer or a job seeker. Refer.com (www.refer.com) rewards visitors for successful job referrals. Web surfers can search for and arrange for all their travel and accommodations online, and can often save money doing so. Cheaptickets (www.cheaptic kets.com) .is a similar site that helps customers find discount fares for airl.ine tickets, hotel rooms, cruise vacations and rental cars. 37 e-Business Model Online Entertainment Model Energy Distribution Model Braintrust Model Online Learning Model Click-and-Mortar Model Table 2 (Continued) Description The entertainment industry has recognized this and has leveraged its power to sell movie tickets, albums and any other entertainment-related content they can fit on a Web page. ICast.corn (www.icast.com) is a multimedia-rich entertainment site. A number of companies have set up energy exchanges where buyers and sellers come together to corrununicate, buy, sell, and distribute energy. These companies sell crude oil, electricity, and the products and systems for distributing them. Altranet (_www.altranet.com) also sells energy commodities. Companies can buy patents and other intellectual property online. Yet2 (www.yct2.com) is an e-business designed to help companies raise capital by selling intellectuaJ property such as patents and trademarks. Universities and corporate-training companies offer high-quality distance education directly over the Web. Click2learn ~www.click2 1earn.com) has created a database of products and services to elp mdtvtdunls and companies fi.nd the education they need. Brick-and-mortar companies who wish to bring their businesses to the Web must determine the level of cooperation and integration the two separate entities will share. A company that can offer its services both offline and o nline is called click-and-mortar, such as Barnes & Noble (www.bn.com). 38 Electronic Transaction T e Credit Card Transactions E-wallets Debit cards Digital Currency Table 3 Electronic Transactions Descrjption Merchant must have a merchant. account with a bank. Specialized Internet merchant accounts have been established to handle online credit card transactions. These transactions are processed by banks or third-party services. To faci litate the credit card process, many companies are introducing electronic wallet services. E-wallets allow you to keep track of your billing and shipping information so it can be entered with one click. Banks and businesses are also creating options for online payment that do not involve credit cards. There are many forms of digital currency; digital cash is one example. It is stored electronically and can be used to make online electronic payments. Digjtal cash is often used with other payment technologies such as digital wallets. Digital cash allows people who do not have credit cards to shop online, and merchants accepting digital-cash payments avoid creditcard transaction fees. 39 Examples Companies like Cybercnsh (www.cybercash.com) and ICat (www.icat.com) enable merchants to accept credit card payments online like www.Charge.com. www. visa.com offers a variety of e­wallets. Entrypoint.com offers a free, personalized desktop toolbar that includes an e-wallct to facltitate one click shopping at its affiliate stores. In order to standardize e-wallet technology and gain wider acceptance among vendors, Visa, Mastercard, and a group of e-wallet vendors have standardized the technology with the Electronic Commerce Modeling Language (ECML), unveiled in June 1999 and adopted by many online vendors. Companies such as AroeriNet allow merchants to accept a customer's checking-account number as a valid form of payment. AmeriNet provides authorization and account settlement, handles distribution and shipping (fulfi11ment), and manages customer service inquiries. E-Cash Technologies (www.ccas.b.com) is a secure digital­cash provider that allows you to withdraw funds from your traditional bank account. Gift cash is another form of digital currency that can be redeemed at leading shopping sites. Web. Flooz (www.Jlooz.wm) is an example of gift currency. Some companies offer points-based rewards. www.beenz.com is an international, points-based currency system. Electronic Transaction Peer-to-peer Smart Cards Micropaymenls Table 3 (Continued) Description Peer-to-peer transactions allow online monetary transfers between consumers. A card with a computer chip embedded on its face is able to hold more information than an ordinary credit card with a magnetic strip. There are contact and contactless smartcards. Similar to smart cards, ATM cards can be used to make purchases over the Internet. Merchants must pay for each credit card transaction that is processed. The cost of some items could be lower than the standard transaction fees, causing merchants to incur losses. Micropayments, or payments that generally do not exceed $10.00, offer a way for companies offering nominal.ly priced products and services to generate a profit. 40 Examples cCash runs a peer-to-peer payment services that allows the transfer of digital cash via email between two people who have accounts at eCash­cnablcd banks. Pay Pal offers a digital payment system known as X payments. PayPal allows a user to send money to anyone with an email nddress, regardless of what bank either person uses or whether the recipient is pre-registered with the service. EConnect has technology in the form of a device that connects to your computer and scrambles financial data, making it secure to send the data over the Internet. EpocketPay is another product developed by eConnect that allows a consumer to make secure purchases from the ePocketPay portable device. This device acts as a cell phone with a card reader built into it and will allow you to make secure purchases anywhere. Millicent js a micropayment technology provider. Millicent handles all of the payment processing needed for the operation of an e-busi ness, customer support, and distribution services. Millicent's services are especially useful to companies that offer subscription fees and small pay-per-download fees for digjtal content. c-Billi ng Electronic llill Presentment and payment (EllPP) offers the ability to present a company's bill on multiple platforms online. Payments arc generally electronic transfers from consumer checking accounts. 41 The Automated Clearing House (ACH) is the current method for processing electronic monetary transfers. Table4 NGI Participating Agencies _A~c~ro~t~1Y~n_l_ _~ E_x~p_a_n_si~n --- ~ --- ~--~ --- DARPA Defense Advnnced Research Projects Agency DOE Department of Energy (beg inning in PY 1999) NASA National Aeronautics and Space Administration NIH National Insti tutes of Health NIST National Institute of Standards and Tec hnology NSF National Science Foundation 42 Occupation Entrepreneur e-Commerce Program Manager Enterprise Architect Business and Infonnation Architect Table 5 Occupational Roles in illE Descdptjon An entrepreneur on the Internet is usually the person with the initial idea for the entire business and is involved in its early stages of inception before official management takes over. e-Commerce Program Managers are involved in enterprise-wide e­commerce initiatives and projects, managing e-cornmerce integration and overall business and technology architecture and infrastn1cture. Usually, they arc senior-level line managers who are effective at uniting the business and technology front by coordinating units within an organization and across the extended enterprise. Enterprise Arc hitects are involved in the definition, alignment, and refinement of the overall ente rprise architecture. Their responsibilities include seeing to it that many of the tasks of program management are can·ied out properly. More important, they must provide guidance so individual projects can make optimal use of infrastructure resources for e-Cornmerce. A balancing act between business requirements and tcchnologicnl capabilities is accomplished through their efforts . Enterprise Architects have a duty to identify the requirements, goals, and constraints of the project. They allocate responsibilities for each of the architectural elements. They are also responsible for lhe coordination of the modeling and design activities for the overall enterprise architecture. They are the chief e-commerce architects because they coordinate the work information, infrastructure and application architects. All architects and modelers should be completely capable in design patterns common to the many facets of business and technology. The design pattern movement has affected all aspects of analysis, design, and implementation of component­based systems. Design patterns are the reusable material of architecture and have an important role in the complex distributed information systems lhat are conceived and developed today. Business and Information Architects have business domain knowledge, including business processes and logical information structures. They coordinate the work of business and technology analysts and modelers who develop abstract representations or business object models of the subjects, rules, roles, events, tasks, activities, and policies of the business domain. Application-neutral models that are built enable the reuse of business engineering analysis and design patterns and artifacts 43 Occupation Infrastructure Architect Application Architect Humru1 Factors Engineer Business Manager Internet Commerce Architect Table 5 (Continued) Description Infrastructure Architects identify the technical services required of the technology infrastructure to empower and support the logical busi ness and information architecture. They evaluate existing infrastructure services, s\~l ect those appropriate to a given project and acquire (via build or buy) new components needed in the infrastructure. They oversee the work of technical specialists in modeling the service architecture of the technical infrastmcturc. They maintain the technical components of the development repository. Application Architects coordinate the business process modeling activities across multiple projects and business domains. They coordinate the work of domain modelers and maintain the repository of business and component models. They evaluate existing business component services, sclectthose appropriate to a given project and (via build or buy) new components needed in the evolving business model. They maintain the business application components of thC development repository. Most importantly. tl1ey guide solution developers in blending the business object model with the infrastruchJre services needed to implement the models in an e~com merce platform. Human Factors Engineers are needed to design the next generation of user interfaces. While the graphical user Interface (GUD is recognized as the enabler of wide-spread personnl computing, task centered user interfaces provide assistance to end-users and can be a boon to productivity in the world of e-commerce. E-commerce transactions can involve a multitude of complex steps and processes. Well-designed user interfaces can help navigate and guide the user through these tasks, keeping track of the progress, and picking up where users leave off when transactions span multiple sessions of work. The Business Manager is responsible for the business approach on the Internet, creating and operating the Internet presence for the business, deciding what products and services are sold online, determining pricing, and establishing the key business relationships needed lo make a venture successful. This is primarily a business role, with particular attention paid to the success of the online business and bottom line. The Internet Commerce Architect is generally a systems analyst who turns the business requirements into a system design that incorporates the creation and management of content, the tnmsaction processing, fulfillment, and technical aspects of customer service 44 Occupation Solution Developer Content Designer Content Author Implementor Database Administrator Internet Sales and Marketing Customer Service Representative T~lble 5 (Continued) Description Solution Developers are application developers. They develop the use cases for the specific application at hand, compose solutions through extensive use of business object models, and use repositories. They assemble application components to implement c-commercc application. Unlike conventional programmers or programmer/analysts, they do not build or pmgram components. Instead, they assemble or glue together business solut ions from prefabricated components. They use highly integrated development environments (IDEs) such as IBM's VisuaiAge, Symantec's Visual Caf6, Sybase's PowcrJ, and Inprise's Jbuilder. Emerging Computer Assisted Software Engineering (CASE) tools and related methods will likely appear that tighten the link between business modeling and software development. Tools for understanding and managing business processes, such as Inte11icorp's LiveModel allows solution developers to build logical business that can automate the configuration and management of the SAP/R3 ERP system. The Content Designer is responsible for the look and feel of an Internet commerce system, including the graphic design, page layout, and user experience. The Content Author creates or adapts product information into a form that can be used for internet commerce, working within the design laid out by the content designer. The Impleme::ntor is responsible for creating any programs or software extensions needed to make the Internet commerce system work. For example, an Implementor might write the software or construct an ASP page using Drumbeat 2000 that takes product information from a database and dynamically renders it into a Web page. In the case that a database is used in the back-end, the Database Administrator (DBA) manages the creation and operation of the database to ensure its reliability, integrity, and performance. The Sales and Marketing team is responsible for focused efforts in promoting Internet-based commerce. Customer Service Representatives answer questions about products, assist buyers with registration or the purchasing of goods and services. 45 Occupation Component Developer Operations Manager System Supervisor System Administrator Security Officer Fulfillment Agent CPO Internet Lawyer Internet Accountant Table 5 (Continued) Description Component Developers usually build components in the form of coding projects. They are masters of component technology and know the intricacies of composition, delegation, and object-oriented systems analysis and design. They are proficient in component development languages (such as Java and C++), modeling standards (such as UMLand XMI), and distributed computing platforms (such as CORBA, DCOM, EJB). They understand and think in terms of architectural design patterns. In the meanti me, they will close the gap between business requirements and available components. Component developers must be highly qualified software engineers since quality'components do not just happen. They are carefully constructed using quality soflware engineering disciplines. Component Developers, therefore, must be highly trained specialists and masters of software quality processes such as CMM and ISO, as well as masters of component-based development methods. The Operations Manager is responsible for managing all service activities for the Internet commerce system. The System Supervisor manages the system staff. The System Administrator is responsible for the technical operations of the computer systems and networks. The Security Officer ensures that appropriate security measures have been taken in the design and implementation of the Internet commerce system. The Fulfillment Agent is responsible for shipping and handling of physical goods or delivery of services. In the case of digital goods, the fulfillment agent is responsible for overseeing the operation of the fulfillment system. The Chief Privacy Officer is io charge of measures for ensuring the security of vital company information, such as customer credit card numbers remains secure within the company network. An Internet Lawyer is a legal expert for Internet fu nctions. The .importance of this position cannot be overstated, because new laws and regulations could ki ll a company without legal assistance, prevention, or intervention. The Internet Accountant is responsible for ensuring that the proper accounting procedures have been followed for Internet-based transactions. 46 Technique Domain name FAQ Forum Networking Faci litation Promotions c-Business advertising Pay-per-click Pay-per-lead Pay-per-sale Webcasting Interactive Advertising Public Relations and press releases Trade shows Table 6 Marketing Techniques on the Internet Description The Universal Resource Locator (URL) represents the address of the domain name, which must be chosen with care because it reflects the company's values immediately and connotes immediate meaning to customers with its first impression. One can purchose a domain name at www.networksolutions.com. A frequently asked questions (FAQ) section contributes to a user­fiiendly site. An onli ne forum on the website enables customers to congregate at a pre-de~ign at cd place on the site to post comments and to share ideas. This promotes site activi ty. It is important to make it easy for the customer to recommend a site to a friend. This can be accomplished with a quick button that brings up an email exchange. c-Business promotions can attract visitors to your s ite and can influence purchasing. Netcenlives.com is a company that can provide your business with customer reward programs. P ublicizing through traditional channels such as television slots, movies, newspapers, and magazines is effective. Pay-per-click is a mode of operation that calls for paying the host according to the number of click-throughs to a site. Pay-per-lead is a mode of operation that pays the host for every lead generated from the advertisement. Pay-per-sale is a mode of operation that pays the host for every sale resulting from a click through. Webcasting is a broadcasting technique on the Web that uses streaming media to broadcast an event over the Web. Interactive Advertising involves consumers in the advertising campaign. An example is WebRIOT, a game show on MTV. The game is aired on television, and viewers can join in the game at the same time by playing online. Public Relations (PR) and press releases keep customers and your company's employees current on the latest information about products, services, and intemal and external issues such as company promotions and consumer reactions. Trade shows arc excellent opportunities to generate site interest by speaking at conferences, which increases brand awareness 47 Table 7 Customer Relationship Management CR.M:Area Handling Sales tracking Transaction support Data-mining Call center Log-file analysis Cookie Customer registrntion Personalization One-to-one marketing Onsite Search engine Registering with Internet search engines Partnering Afffiiate Programs Culture management Description Handling is essentially the maintenance of out-bound and in-bound calls from customers and service representatives. Sales tracking is the process of tracing and recording all sales made. Transaction support entails technology and personnel used for conducting transactions. Data-mini ng is a wny to analyze information collected from visitors. Data-mining uses algorithms and statistical tools to find patterns in data gathered from customer visits. A call center gathers customer-service representatives who can be reached by an 800 number or through email, online text chatting, or real-time voice communications. A log-file analysis is a useful way to keep track of your visitors in tenns of site visits, including each visitor's location, IP address, time of visit, frequency of visits, and other key indicators. A cookie is a technology that keeps a profile on each visitor. Customer registration is an excellent method to create customer profiles because visitors fi ll out a form with personal information. Personalization technology can help a company understand the needs of its customers and the effectiveness of its website, thereby catering to the whims of the customer. One-to-one marketing such as e-mails confirms purchases and offers new products, showing customers that the business appreciates their patronage. Onsite Search engines allow people to find information relative to a subject of interest amidst the large amounts of information available on a personal website. Registering with Internet search engines is important because there are reportedly over 400 se::arch engines in usc on the Internet. This process makes a website known to the world by submitting the website as a searchable domain name in a sea of domain names. Partncring is a way of forming a strategic union with another company. Generally, legal contracts are usually written to define the relationship in a wf'ly to help a company provide customers with complimentary services and product<;. An Affiliate Program is an agreement between two parties that one will pay the other a commission based on a designated consumer action. Affi liate programs establish new income streams for companies and individuals that host the advertising affili ate websites. Culture management is the ability to understand and cater lo a target audience's patronage and culture, especially in global enterprises. 48 LIST OF REFERENCES [1] 0. Aktunc, ";The Role of Component Technologies on Enterprise Engineering,"; Masters Thesis, Department of Electrical and Computer Engineering, University of Alabama at Birmingham, 2002. [2] D.H. Liles, M.E. Johnson, L.M. Meade, and D.R. Underdown, ";Enterprise Engineering: A Discipline?"; Society for Ente1prise Engineering Conference Proceedings, June 1995. [3] L. Whitman, Enterprise Engineeiing IE8801 class webpage, http://webs.twsu. edu/enteng, 2002. [4] W.D. Barnett and M.K. Raja, ";Object-Oriented Enterprise Engineering,"; http:/ /webs. twsu .edu/enteng/papers/OOEE. pdf, 1999. [5] J. Orr, ";Enterprise Engineedng Modeling,"; http://www.cadinfo.net/editorial!eem. htm, 2002. [6] H. Eriksson and M. Penker, Business Modeling with UML, New York: Wiley, 2000. [7] G. Herzum and 0. Sims, Business Component Factory, New York: Wiley, 2000. [8] ";Enterprise Design and Engineering,"; http://www.eil.utoronto.ca/ent-eng/, 2002. [9] M. Segal, M. N. Tanju, 0. Aktunc, and M. M. Tanik, ";Strategy Formulation for E-Business ,"; in The fifth World Conference on Integrated Design & Process Technology, 2000, Proceedings CD. [10] E.M. Roche, ";Managing Information Technology in Multinational Corporations,"; Macmillan Publishing Company, New York, 1992. [11] C. Chandra and A.V. Smirnov, ";Ontology-Driven Knowledge Integration for Consumer-Focused Smart Companies,"; Proceedings of the Twelfth Annual Conference of the Production and Operations Management Society, POM-2001, Orlando FL, 2001. [12] G.J. Cross, ";Now e-Business is Transforming Supply Chain Management,"; Journal of Business Strategy, March/April, pp. 36-39, 2000. [13] S. Chincholikar, 0. Aktunc, and M.M. Tanik, ";TheN-Queens Test-Bed,"; Technical Report 2001-1 0-ECE-0 11, Department of Electrical and Computer Engineering, University of Alabama at Birmingham, 2001. [14] S. Davis and J. Botkin, ";The Coming of Knowledge-Bases Business,"; D. Tapscott, eds., Creating Value in the Network Economy, Boston: Harvard Business School Publishing, 1999. 49

H. DeWayne Ashmead ; The Weber and Davis County Communities Oral History Collection include interviews of citizens from several different walks of life. These interviews were conducted by Stewart Library personnel, WeberState University faculty and students, and other members of the community. The histories cover various topics and chronicle the personal everyday life experiences and other recollections regarding the history of the Weber and Davis County areas. ; 66p.; 29cm.; 2 bound transcripts; 4 file folders. 1 video disc: digital; 4 3/4 in. ; Oral History Program Harvey DeWayne Ashmead Interviewed By Rebecca Ory Hernandez 22 October 2012 29 October 2012 26 November 2012 i ii Oral History Program Weber State University Stewart Library Ogden, Utah Harvey DeWayne Ashmead Interviewed by Rebecca Ory Hernandez 22 October 2012 29 October 2012 26 November 2012 Copyright © 2013 by Weber State University, Stewart Library iii Mission Statement The Oral History Program of the Stewart Library was created to preserve the institutional history of Weber State University and the Davis, Ogden and Weber County communities. By conducting carefully researched, recorded, and transcribed interviews, the Oral History Program creates archival oral histories intended for the widest possible use. Interviews are conducted with the goal of eliciting from each participant a full and accurate account of events. The interviews are transcribed, edited for accuracy and clarity, and reviewed by the interviewees (as available), who are encouraged to augment or correct their spoken words. The reviewed and corrected transcripts are indexed, printed, and bound with photographs and illustrative materials as available. Archival copies are placed in the University Archives, which also houses the original recording so researchers can gain a sense of the interviewee's voice and intonations. Project Description The Weber and Davis County Communities Oral History Collection include interviews of citizens from several different walks of life. These interviews were conducted by Stewart Library personnel, Weber State University faculty and students, and other members of the community. The histories cover various topics and chronicle the personal everyday life experiences and other recollections regarding the history of the Weber and Davis County areas. ____________________________________ Oral history is a method of collecting historical information through recorded interviews between a narrator with firsthand knowledge of historically significant events and a well-informed interviewer, with the goal of preserving substantive additions to the historical record. Because it is primary material, oral history is not intended to present the final, verified, or complete narrative of events. It is a spoken account. It reflects personal opinion offered by the interviewee in response to questioning, and as such it is partisan, deeply involved, and irreplaceable. ____________________________________ Rights Management All literary rights in the manuscript, including the right to publish, are reserved to the Stewart Library of Weber State University. No part of the manuscript may be published without the written permission of the University Librarian. Requests for permission to publish should be addressed to the Administration Office, Stewart Library, Weber State University, Ogden, Utah, 84408. The request should include identification of the specific item and identification of the user. It is recommended that this oral history be cited as follows: Ashmead, Harvey DeWayne, an oral history by Rebecca Ory Hernandez, 22 and 29 October 2012 and 26 November 2012, WSU Stewart Library Oral History Program, University Archives, Stewart Library, Weber State University, Ogden, UT. H. DeWayne Ashmead November 26, 2012 1 Abstract: H. DeWayne Ashmead (DOB: June 4, 1944), President and CEO of Albion Laboratories, Inc., shared his oral history with Rebecca Ory Hernandez from Weber State University during the months of October and November 2012. DeWayne sat with Rebecca in his executive office and shared stories about his life, including his childhood, his education, the history of Albion, Inc., his family, and his partnership with Weber State University. DeWayne spoke in detail about his father and the history of the Albion minerals business. DeWayne also expanded on his background in joining the company and developing Albion Laboratories into what it is today ROH: Today is Monday, October 22, 2012. We are in the office of Albion Laboratories. Present are H. DeWayne Ashmead and Rebecca Ory Hernandez from Weber State University. I would like to get started by asking you to state your name and tell me where and when you were born. DA: My full name is Harvey DeWayne Ashmead. I am named after my father, Harvey. I was born June 6, 1944, on D-Day in Brigham City. I could have had a lot of different middle names. My mother debated whether or not to name me Dwight after Dwight Eisenhower because it was D-day and he led the D-day forces. Ultimately, she decided to name me DeWayne, the "De" standing for D-day. ROH: Were you born in the hospital or at home? DA: In the hospital. My father was the head pharmacist at Bushnell General Hospital in Brigham City and my mother was also working at the hospital. There was a 2 4,500 bed hospital for the soldiers, but I was born in the civilian Brigham City Hospital not the military hospital. ROH: Why don't you tell me a little bit about your parents and your childhood? DA: My parents were really cool. I have often said that when I grew up I wanted to be just like my dad, so I'll start with him. His name was Harvey. He was born in a log cabin out on the prairie in 1916. This was in Camas County, Idaho near a community that no longer exist called Corral. He grew up riding horses and doing all the things kids did I suppose. When he was a toddler, the Indians tried to steal him and when they couldn't steal him they tried to buy him. Apparently, he was very attractive to the Indians. He grew up helping his father and brothers on what became the family farm at Corral. It was initially a cattle ranch until his father got into a dispute with the sheep men. The sheep men won, so the cattle had to be sold and they converted the ranch to a farm. He went to a single classroom grade school through the eighth grade with a single teacher that taught all of the grades at once. When he went to high school in the ninth grade, he had to move away from home and board with a family in the city of Fairfield about 10 miles away from home. At that point in time, it was too far to commute. He would stay there all winter and go to high school there. When he graduated from high school, his father wanted him to come back and help him on the farm. My dad wanted to go to college. My grandfather said, "That's stupid. I've got an eighth grade education and I've been very successful. 3 You've got a high school education you don't need to go to college." My dad persisted and he had to send himself to college and support himself. He used to say he was the best latrine cleaner around, which I suppose means that he was a janitor. ROH: Where did he go to college? ZD: He went to Idaho State University and graduated in pharmacy. Initially, that's what he wanted to do. My grandfather, upon learning that he was studying pharmacy, gave my father a little bit of money to help him in college because he recalled that during prohibition the local pharmacist made the best moonshine of anyone in the valley. He assumed that what my father was learning how to do was to make moonshine. Anyway, my father became a pharmacist. Later on in life he did not practice pharmacy, but he still maintained the license. After he was married to my mother, they went off to graduate school. My mother wanted to get a degree in speech pathology and my father wanted to get a medical doctor's degree. They went to Washington State University. They almost starved to death, so they had to come back and live in the real world. That's about when I was born. Ultimately, my father got a doctor's degree in biochemistry and considered himself to be a biochemist, not a pharmacist. My mother came from a family that was much more interested in education. My grandfather, who was born in the 1880's, had a bachelor's degree from the University of Utah. My grandmother had a degree from BYU. Since both had college degrees it was expected that all of their children would go to college. 4 My mother went to Utah State University and got her bachelor's degree in English and was qualified to be a school teacher. She wanted to go on for graduate work. Ultimately, she did her master's work at the University of Denver and got her master's degree and doctoral degree at the University of Utah in speech pathology and oral myology. They were both highly educated. ROH: Yes, indeed. Were you all expected to go to college? DA: Yes. I have three sisters. Two of them went to college. My oldest sister, who is three years younger than I, went to one year of college and said, "I don't like this." She got married instead. My other two sisters went on and both got bachelor's degrees and one got her doctorate. We were expected to go to college. ROH: Tell me a little bit about growing up and your childhood leading up to when you started grade school. Do you have any stories or memories from childhood that stand out? DA: Probably none that I really recall. I can think of two or three, but nothing significant. My mother used to tell a story that she liked to repeat frequently. When we were still living in Brigham City, at the end of the Second World War, there were a lot of Native Americans that lived in Brigham City. She talks about one occasion when I was just a toddler, I was playing outside and a family of Indians went down the street in single file from the father to the mother, then all the kids down to the smallest. My mother said that I watched them walk by and just got in line to follow them right down the street. There were all of these brown- 5 skinned Indians and a little white boy in a diaper going down the street. She said it was really a funny sight to see. ROH: Where did you go to school? DA: From Brigham City, we moved a lot. We moved to Salt Lake and ultimately moved to Denver where I started my public education. My father accepted employment in Brooklyn, New York, but my mother said, "I'm not going." We remained in Denver while Harvey started the veterinary division of Pfizer Laboratories in New York. He was one of the senior management at Pfizer and was one of the candidates for the presidency of Pfizer when he left the company. While at Pfizer, he would commute between Brooklyn and Denver while we stayed in Denver. I recall one of the things I did one summer in Denver. I attended a Methodist Bible School that summer which was kind of interesting. I graduated from the Methodist Bible School and don't recall too much about the classes other than that they gave me a certificate and a pencil, so that was important. I started grade school near our home. I may have used a school bus, but I don't recall it. As time went on in grade school I did use a bus and I'll come back to that in a minute. My mother talks about one time she was supposed to pick me up after school and she was late getting there. All of the teachers and students left and she still wasn't there. She said I hid in the bushes so people couldn't find me. I waited for her for a while and finally sat out on the curb until she came to 6 pick me up. She said my comment was, "I knew you'd come and get me." This school was from kindergarten to third grade. In the second grade, I had a girlfriend. For years I've struggled to remember her name and haven't struggled hard enough because I can't remember it. Nevertheless, she was really an important girlfriend. I wanted her to sit by me on the bus. I was terribly shy, but I bribed her by giving her the little prizes out of the cracker jacks boxes. I had a big collection so I'd give her a prize every day if she'd sit by me on the bus. Apparently, she liked me as well because the kids started teasing her about it and dared her to give me a kiss. One day, she leaned over and gave me a kiss on the cheek and I was mortified. ROH: You weren't counting on that. DA: No, I wasn't, but it was wonderful. I brought her home from school one day to meet my parents and I had her wait in the foyer so I could go tell my parents. They told me I had to sit down and eat right then. So, I went back to the foyer and told her she had to go home and that's the last memory I have of her. Anyway, we started grade school with kindergarten. I remember having to take naps in kindergarten. It was an all-day kindergarten not a half day, but we had to take a nap. I remember very little from first and second grade except that a third grader was misbehaving and his teacher sent him back to the second grade as punishment. It was just to shame him. I can remember my second grade teacher having him sit next to me and we were doing an art project. I looked at what he was coloring or drawing and how much better it was than what 7 I could create because he was older and it really impressed me. I remember some of the early books, Dick and Jane books that we had to learn to read from and how stupid they were. In the winter, my mother would worry about me getting cold, so she insisted that I wear long-legged underwear. I hated them and did not want to wear them, but I did because she insisted. She even bought a pair for my father just to show me, "See, even real men wear long underwear." We had gymnastics tumbling. On one occasion, we were going to perform in front of an audience and my mother was supposed to bring me some regular short underwear because we had to wear short shorts and t-shirts for this tumbling. She didn't show up in time and I had to roll that long underwear up and try and hide it underneath my shorts. I wasn't very successful and I was mortified. I don't remember anything about the tumbling. I just remember that terrible long-legged underwear. ROH: Did you enjoy school? Was it always something that you liked? DA: I always liked school. I enjoyed school from grade school throughout my university career. In fact, if I had the time and the patience, I'd go back to school right now. I don't really have the time and I don't really have the patience to listen to some professor's pontificate on things that I know as much or more about. I just wouldn't put up with it. ROH: Tell me where you fall in line of your siblings. Are you the oldest? DA: I am the oldest. I have a sister who is three years younger, another six years younger and another that is 13 years younger than I. 8 ROH: Are they all still living? DA: Yes. They're all still living. ROH: You went through third grade in Denver. Did you stay in Denver that entire time or did you move back and forth from Kindergarten to third grade? DA: We moved some. My parents were struggling financially. I just learned that probably in the last year as I've been trying to write a little history of my parents. They struggled and for some of the time that we were living in Denver, my mother took my sister and me to Idaho. She dropped us off at her parents' home in Idaho and left her parents to raise us while she taught school in another community. She had a license to teach school in Idaho and Utah, but not in Colorado. My father was basically living in Brooklyn at the time, so it didn't matter if she was in Idaho or Colorado because he wasn't coming home. There were no jets, it was all prop planes and it was expensive. He would come home about once every couple of months and wouldn't stay more than a day or two or three and he'd be gone again. He was building a veterinary drug company for Pfizer in New York. I also remember one time being with my grandparents in Kimberly, Idaho and my mother was asked to be a substitute teacher. There was a teacher that wasn't able to fulfill the teaching contract and my mother agreed to teach grade school for a month or so until they could find another teacher. Idaho schools started prior to the Colorado schools, so she put me in school along with my cousin while she taught our class. My cousin would call her Aunt Allez until 9 he was teased into calling her Mrs. Ashmead. I called her Mom until I was teased into calling her Mrs. Ashmead. For about a month she was my grade school teacher and then we went back to Colorado. In about 1953, the financial difficulties that my parents were facing were becoming a crisis. They needed more money. My mother found employment in Utah working for the state. She had completed most of her requirements for her master's degree in speech pathology in Denver, so she told my father she was going to move back to Utah. She couldn't work in Colorado, but she could in Utah. My father decided that it was time for him to resign from Pfizer, even though they offered him the presidency. He quit and came back to Utah with my mother. ROH: Do you know why he quit? DA: Because my mother was moving. I suspect that his employment was putting a strain on their marriage and it was probably heading for divorce if he didn't quit. That's purely speculation. I never heard the "D" word at all. I never saw any indication that my parents wanted to separate. They were both highly motivated individuals trying to rise to the top of their careers, but when it came to the family and the marriage they pulled back together and my father decided to sacrifice his career to go with my mother back to Utah. He didn't quit immediately and move back to Utah. He moved to Utah and subsequently resigned from Pfizer two years later in 1955. 10 My mother went to work for the state of Utah in the education department as a speech pathologist. She went to the University of Utah to finish her degree and was awarded her master's degree at the University of Utah. She worked for the state of Utah for about a year and was then offered a position in Davis County to start a speech and hearing program. She accepted that and we moved to Kaysville because it was the center of Davis County so she could move in either direction. She started the speech and hearing program for the county initially on her own, but it grew into two employees that worked for her. Plus, she was supervising 12 students from the university who were also working for her. The speech and hearing program in Davis County became the model for the rest of the state. It then became the model for other countries. I can recall that she was invited to the Soviet Union to train them on how to set up a speech and hearing program for their school system. She went elsewhere around the United States on behalf of the state of Utah to teach others how to do this. She became quite well-known in this area and by the time she got her doctorate, she was one of six people in the world qualified to do what she did and the only woman. I am proud of her. She graduated the same year with her doctorate that I got my bachelor's from Weber. I've got pictures of her in her doctoral robes and me in my Weber State robes. ROH: Do you recall any conversations about why you weren't all just moved up to New York? 11 DA: My mother did not want to go any further East. During the First World War, my father worked on a research project to stabilize penicillin so it could be used to treat the wounded soldiers. He was successful in developing a stabilized form of penicillin. It became widespread in its usage around the world because of the work he did. While he was at Bushnell General Hospital, he started to work on an amino acid therapy for soldiers that were burned. Burn patients were losing amino acids, and the doctors said, "We have to give them amino acids." However, the amino acids were so vile that most soldiers that tried to drink the concoction would vomit it back before they could even get it swallowed. Some started even before then as they got it close to their nose. My father started working on a palatable form of amino acids. It was, for the most part, developed before the end of the war, but not in its final stage. The drug company, Mead- Johnson, hired my father at the end of the war to go back to Evansville, Indiana to finish the project. My father went back there and joined their research and development group and finished the project. In fact, if you look at the drink "Ensure" and the infant formulas, all of them have their genesis in the work that he did. I've had scientists tell me that they actually saw the notebooks that my father had written at Mead-Johnson and saw what he developed. During that time, I was an infant and I was left with my grandparents while my mother went with my father back to Indiana. When he completed that research, Mead- Johnson offered him full-time employment, but neither of parents particularly liked living in Indiana. They went on to New York, then to Florida and elsewhere 12 for several weeks looking around and neither of them were in love with what they saw. I suspect that my mother in reflecting on those initial trips said, "I don't want to go any further East than Denver. I was born and bred in the West, I'm going to stay in the West and I don't want my kids growing up in the East." They had purchased a home in Denver. I suspect they were having trouble making house payments, but it was still their home. I know that my mother did not have a car which made it difficult with two babies and having to take street cars to get wherever she wanted to go including a grocery store. ROH: It was probably rough. Let's continue with your education. DA: Our first home when we moved from Denver to Salt Lake was near a school where I went to the fourth grade. The principal was Mr. Walker, who plays a role a little bit later in my life, so I'll come back to him in just a minute. In the fourth grade, we lived near the school. I had a girlfriend. I had lots of girlfriends. ROH: You did. DA: I'm not a Latin lover but I had lots of girlfriends. I had a girlfriend named Sandra West. My father loved to tease and of course at that age these girlfriends are secret girlfriends. Somehow, he found out that my girlfriend's name was Sandra West. I can remember him teasing me about that with my cousins. They were trying to discover what my girlfriend's name was and I wasn't about to tell them because it was secret. My father said, "Well, it isn't north, it isn't south, and it isn't east…" Then he stopped. I was mortified that he had told them. ROH: Now I know where you get your sense of humor. 13 DA: Her parents were friends with my folks, and I don't remember where, but it was earlier than just being in the neighborhood. Anyway, she was my girlfriend in the fifth grade. Then, we moved and Mr. Walker had a home that was about two or three miles from the school. The house that we were living in near the school was on a one year lease and the owners came back and they wanted their house, so Mr. Walker said, "Well, I have a rental house next to my house, you can come and live in it." My mother said, "Yeah, but I don't want to put my kids in a different school again." He said, "That's not a problem, they can stay in the same school and I'll take them to and from school." My parents agreed and we moved to a house on the Mill Creek east of Sugar House which had a big impact on me. I'll tell you about that in a moment. Anyway, this thing with Mr. Walker didn't work out. He left for school too early in the morning for us, so my parents had to take us to school. My sister and I, who were both in school there, didn't like waiting until 4:30 or later for him to get around to going home. We began walking the three or four miles to home. He never transported us really. ROH: That's a long walk. DA: It was, but we had to do it. There was no other option because my mother was working full-time and my father was still traveling. So, it was either go with Mr. Walker or walk home. This house was on the Mill Creek and it was a wonderful experience for me. All of my free time was spent exploring the woods along the creek and getting involved with the creek. When I think about it now, it was probably dangerous, but I didn't think about that. I was in the water and I did all sorts of things. I collected bugs and animals on the Mill Creek. I just thoroughly 14 loved it so much that I vowed that when I grew up I was going to have a home on the creek. After my wife and I were married, I searched for years for a creek and finally found one. We did build a home on the creek. It was because of that one year experience on the Mill Creek. ROH: Is it in Salt Lake? DA: No, it's in Fruit Heights. We built it on Baer Creek. When my wife and I found the creek, I followed it and found some land that I liked and tried to buy it. They wouldn't sell it to me. I found some additional land on the creek that I really liked and went to Davis County to find out who owned it. I found the name of the owner and went to him and said, "I'd liked to buy some property." This was all undeveloped property. He said, "Well, if I were to sell that land I'd have to have $12,000 an acre." I said, "Well, great. I want 3 acres." He said, "But I don't want to sell it." I said, "But I want it." So, for an entire year every week I either went and saw him or telephoned him to see if he would change his mind. Finally, after a year I had worn him down to the point he said, "Just take it." So, I bought the three acres. It was never a question of how much I was going to pay. It was just trying to get the land. We bought the land and ultimately built our house there where we still live. That was in 1976. ROH: Have you ever been back to the original Mill Creek house? DA: No. In fact, I question whether or not I could even find it. I probably could if I looked up an address, but we always called it the chicken coup because it looked like a chicken coup. A flat roofed chicken coup that had just been renovated into 15 a house. It was in a cul-de-sac with two other houses. Mr. Walker's house was the most elaborate. Then there was a second house that was next to his and it had solar panels on the roof. It was a solar energy house, which really would have been Avant Garde. I can remember the solar panels. I don't remember the people or what the husband did. Across from Mr. Walker's house in the cul-de-sac was the chicken coup where we lived. ROH: Were your sisters all born at this point? DA: No. I was born in Brigham City and my next sister was born in Salt Lake in 1947. My father was living in Denver trying to set up a home for my mother and me when my sister was born. My mother went into labor, and she didn't have a telephone so she went to the neighbor and used the neighbor's phone to call a taxi to come and get her. The taxi dropped her off in front of the hospital, took the money and said, "Goodbye." My mother went in with her big suitcase. She talked about only having one suitcase, the one she used when she went off to college to Utah State University. It was a big suitcase, not an overnight bag, but she lugged the big suitcase in and had the baby. She called my father and he got in the car in Denver and drove back to Salt Lake. My sister was born by then. He saw her for a couple of days and got back in his car and went back to Denver. My mother was in the hospital taking care of herself because he couldn't leave work. In Denver, my second sister was born in 1950. My father was at home and my mother was taking courses at the University of Denver. One of them was an arts and crafts course. I don't know why she was doing that, but the instructor 16 told her that regardless of the fact that she was pregnant, if she missed classes, she would be dropped from the program. When she went into labor, she had my father go to the class to take her place. The instructor asked my father what he wanted to do while he was there and he said, "Well, I'd like to carve a horse out of wood." The instructor said, "There's no way you can do that. You'd have to be trained for years and years to balance the horse. You just can't do it." So, my father went home and took out his pocket knife and carved a Tennessee Walker perfectly balanced on two feet with all the right muscles and everything. He took it back the next week and said, "Here." He'd never done anything like that before and it was a wonderful thing. That started his woodcarving hobby. He was extremely good at it. All of the pieces were professional pieces. On one occasion, I had two coloring books, a Roy Rogers coloring book and Gene Autry coloring book, each cowboy was featured on his horse on the cover of these coloring books and each horse was rearing. My father looked at the pictures and carved the two horses out of wood. Each horse was about 12 inches tall and rearing. He mounted them on a wooden base so it appeared that the two horses were fighting. It was just beautiful. He carved horse heads. Each head was about 8 inches tall. They were so realistic that they even had the blood vessels in the horses head. He knew animals intimately and he carved them accordingly. He was very, very good at it. Speaking of carving, it reminds me of another thing with my father and mother. I had cowboy heroes when I was a kid and one of them was Hopalong Cassidy. I just loved him. He was great. I also liked Roy Rogers. I wanted to 17 change my name to Roy once upon a time. Hopalong Cassidy was one of my heroes. I not only watched him in the movies, but I would buy the comic books whenever I could get my hands on one. It was rare that I got a comic book because my parents didn't have much money. One of the comic books that I did purchase showed Hopalong Cassidy being manipulated by the bad guys. The way they portrayed that manipulation was by attaching strings to his feet and hands to make him into a puppet. That was the picture on the cover of the comic book. So, I told Santa Claus I wanted a Hopalong Cassidy puppet. I must have been six or seven at the time because I still believed in Santa Claus. Obviously, a Hopalong Cassidy puppet did not exist, even though my mother searched high and low in the stores to find one. They didn't exist. So, my father took wood and carved this Hopalong Cassidy puppet. He carved the hand with the arm up to the elbow and he attached that to the upper part of the arm wrapping it with cloth so that there was a joint that allowed the arm to move. Then, he attached the arm to the shoulder with a cloth so it could also move. My mother sewed the clothes for the puppet. Hopalong Cassidy dressed in a black outfit, so she freehand sewed all of the clothes to dress the puppet in. Where they found them I don't know, but they also found little cowboy boots that they put on him, as well as a hat and pistols. I don't know where they found the pistols, but my father had to make the holsters for the pistols out of leather. They attached strings to it and I got a Hopalong Cassidy puppet for Christmas from Santa Claus. It was a prized possession. My mother says I put on a Hopalong Cassidy puppet show for my school class on one occasion. I don't recall that, but 18 she talked about it. At some point, the puppet lost its strings, but I still have the puppet. That is a prized possession that my parents made for me. ROH: What it must have been like to see that on Christmas morning. DA: I can't remember seeing it Christmas morning, but that puppet has been part of my life as far back as I can remember. My father was extremely talented at carving wood and did so until his mid to late 70's. At that age he developed an allergy to the sawdust in the wood, so he couldn't carve anymore. The last thing he carved was a covered wagon with eight horses pulling it, which I have in my house. It's a beautiful thing. After that, he decided to make bronzes. I have a good friend who is a professional artist who has made millions of dollars with his artwork. One day, I was going to have lunch with him and my dad asked me to ask him how to make a bronze sculpture. I did and my friend said, "Well, you make a skeleton out of wire or whatever and then you put the clay on it and once you put the clay on it you put it in the oven and bake it. When that is done, you take it to the foundry and it is cast by the foundry." That's as much as I told my father. He said, "Okay." He sat at the kitchen table with a pair of pliers, coat hangers, and a torch and he welded pieces of wire together to make a skeleton. Then, he used clay and made his figurines. He then put them in the oven and baked them before taking them to the foundry. He's done beautiful sculptures. His first sculpture is of two fighting elk. You may or may not have noticed in the foyer at Albion, there's an eagle perched on a limb. That's another one he made. This is all amateur, but they look 19 like professional pieces. He also created one of a cowboy that has roped a buffalo which resulted in the cowboy, horse, and the buffalo all being in trouble because they are all tangled together in the rope. Another one that I thoroughly enjoy is a pond with swans on the pond. It is a beautiful piece. ROH: How old was he when he started doing bronzes? DA: He was about 78. He died when he was 82. He would produce them and give them away. He could have made a living as an artist if he wanted to, but he didn't. He just did it as a hobby. ROH: Today is Monday, October 29, 2012, we are in the offices of Albion with DeWayne Ashmead and Rebecca Ory Hernandez from Weber State. When we were talking last week, you mentioned this really nice picturesque setting along the creek. DA: The Mill Creek. ROH: I wanted to pick up from where we left off there. DA: We moved to Kaysville to a rented home in 1955. I started the sixth grade at Kaysville Elementary School. It was interesting. I have thought about that several times and I don't know why one thing stands out in my mind. I had no friends until I went to school, so I was in the process of trying to make friends. We had our first recess and there were two boys in the class who were leaders. They were the top kids. I was a little skinny new kid on the block and when we went out for recess the boys all decided they wanted to play football. I had never played 20 football in my life. I didn't know how to play it or anything else, but one of these kids picked me to be on his team and that really made me feel good. He asked me what position I played and I said, "I don't know." He put me on the line and I promptly got knocked on my fanny the first time. I always respected that kid because he picked me and stood up for me at a time that I needed someone to do that. He didn't become a close friend, but throughout my junior high and high school days he was a kid that I looked up to. The sixth grade probably was a turning point in my life. My teacher was a man by the name of Elmer Wilcox, and he really liked science. He would take us on field trips. We went out to the Salt Lake and dug up crystals. He liked rocks so we collected rocks. He had a three stage microscope of his own that he brought to school to show us the invisible world. I became fascinated with that and for whatever reason, he took a liking to me and he would give me this microscope to take home on weekends. I was absolutely thrilled. I lugged this microscope in its wooden box home to look at things under the microscope. I studied all kinds of different things like water from the swamp or hair. I was just absolutely fascinated with it. Because of my interest, at Christmas my mother went to the University of Utah and purchased a three stage microscope from their surplus equipment. It was an old microscope, but it was still just like his as far as effectiveness was concerned. It was a professional microscope, not a toy. As the school year went on I became more and more interested in all of the aspects of science. I hadn't picked a single discipline. He fostered that and continued to encourage me in so many ways that he has always stood out in my 21 mind as one of the people who truly influenced me. When I entered the seventh grade, I went to Central Davis Junior high School in Layton. The science teacher at Central Davis at that point in time considered teaching science as just a job. He didn't really do much to encourage me or to help me with my scientific interests, but then my father started working with me. My father was deeply involved in the sciences and the fact that I was expressing interest in the same thing encouraged him to get involved with me. I wanted to enter a science fair in Utah and I decided that I would like to build a robot that was somewhat mobile that would speak through a record player by remote control. My father helped me build it and I won first place in the state. ROH: That sounds really ambitious for that age, how did you come up with that idea? DA: Actually, I read an article in Boy's Life scout magazine about a robot. It just intrigued me and I thought, "I want to do one like that." So, we did. In the eighth grade, I got more sophisticated and built a cloud chamber so I could see radiation particles from radium as they would go through an artificially created cloud. I won first place. I can't remember what I did in the ninth or tenth grade, but I won first place there. In the eleventh grade, I was working full-time at Albion while going to school full–time. I'll come back to that later. My father and I were collaborating on a drug to dissolve kidney stones and I had done a considerable amount of research on my own dissolving kidney stones in sheep. I presented my research on that and I won first place in the state and was subsequently sent to the national science fair with that research. Unfortunately, we drove to Seattle 22 where it was held and I had left part of my project at home and forgot it. The result was that I didn't do very well at nationals, but that's the way it goes. ROH: Did you participate in science fairs all the way through high school? DA: I did. I became known as, I guess in today's vernacular, a nerd. I was selected as the Sterling Scholar for science my senior year of high school in 1961-1962. I had a reputation for being quite intelligent and deeply involved in the sciences. Between Elmer Wilcox and my father, the two of them really fostered that love of science which continues to this day. ROH: Did you have any other friends that you would work on these projects together with? DA: I had friends, but none of these friends was as involved in the sciences as I. I didn't make friends easily. I was very shy and basically a loner. A lot of my research projects were too complex for kids to understand. They didn't see the value of them, so they would ignore me. ROH: Was that the end of your football career then? DA: In sixth grade? Absolutely. To this day, I really don't care for football. I shouldn't say that. I should say that I enjoy watching the game, but I am not passionate about it. ROH: It's really quite something to be that involved in science all through and it's no surprise then that you continued on into your career. You won lots of awards in high school and when you graduated as a senior, what did you do? 23 DA: I chased my girlfriend. ROH: You had a lot of girlfriends. DA: Well, I only had one that was important. That's the one I married. ROH: When did you meet Jill? DA: I met her as a junior in high school. We met in a history class because the teacher assigned us seats in history according to alphabetical order. I was the last "A" and she was the first "B" so she sat right behind me in history. She was a cute little girl, so I asked her for a date and she turned me down. I asked her for a second date and she turned me down. When I asked her a third time I figured, if she turns me down the third time I'll never ask her again. ROH: What were the dates? DA: I don't remember. I had a reputation of being a nonconformist in high school too. The fact that I'm science on the one side is one thing, but I went clear over on the other side because I was trying to fit in. I really didn't fit in anywhere in high school. She basically turned me down because of my reputation. The third time, she accepted. ROH: What reputation are we talking about? DA: I had the coolest car in school and I raced. I raced at the drag strips and I would race on the streets. You didn't ask me about that. ROH: Well, tell me about what you did for fun? 24 DA: I played with my car and still play with my cars. Finishing up with Jill though, the third time I asked her for a date she accepted and before we were out of our junior year in high school we wanted to get married. After that, we just continued to date through high school. I had several scholarships to various universities and she was going to go to Weber College, so I followed her to Weber rather than taking these other scholarships. Looking back, it was a good thing. ROH: So back to the car story. When did you get your license or were you driving before you got your license? DA: Oh yes. I started driving at about 13 or 14. I got my first car about a year before I got my license. I had a 1950 Mercury. I customized it, lowered it and put loud pipes on it. I got all sorts of tickets and generally not the same one twice. I raced that car. ROH: How did you buy your first car? DA: Actually, it was given to me. I got it from my parents. My parents bought this 1950 Mercury and had taken good care of it. It was really a good car and I probably destroyed it. I just thoroughly loved the car. I can remember one time, I wanted to leave high school early and the only way out at that time was through gates on the parking lot. They were locked during school hours so you couldn't leave school. On one of the exits there was a space between the pole that held the gate and another pole that was just wide enough to let the car slip through with about an inch or two on each side. My friend and I decided to leave school early one day by slipping through this space. That gate was between two 25 buildings. My car was so loud with the noise of the exhaust reverberating back and forth between these two buildings as we were trying to get out that it attracted everyone's attention. It brought every kid in the high school to the windows to watch us leave school. Shortly thereafter, they welded stakes perpendicular to the gate pole so I couldn't get out. I really liked the car. I liked cars because it gave me the freedom that I didn't have before. I went everywhere in that car. It was my whole life. I put over $1,000 into customizing the body, which in 1962 terms was a huge sum of money. I did a lot of the work myself and made a few mistakes, but I still enjoyed it. When I was a senior in high school in 1962, I decided I wanted a new car, so I went to the Oldsmobile dealer in Ogden and ordered a new car. I bought a 1962 Oldsmobile Cutlass in the last part of my senior year in high school. Jill and I dated in that car. Later, I sold it, but a few years ago when a car like it came up for sale I went and bought it just to try to recapture our youth. It didn't work, but Jill and I still enjoy putting the top down in that convertible and just driving. We still do it. Destroying the ozone layer is just a lot of fun because that's what we did when we were kids. We would drive up and down Washington Blvd and I would drag race anyone that wanted to drag race. I'd race on the streets and I would accelerate to about 80 miles an hour on Washington Blvd. ROH: Where on Washington Blvd.? DA: From stoplight to stoplight. Very rarely did I ever lose a race. I was a fast driver and had a reputation for always having a very fast car. 26 ROH: So that's why she was turning you down? DA: Yes. ROH: Are you still racing up and down Washington? Have I heard anything about you in the blotter? DA: No you have not. I haven't had a ticket for probably 25 years. ROH: Where do you ride now when you go for drives? DA: Generally on the back roads. The cars that I drive are very expensive and many of them are one of a kind, so people have a tendency to drive into me as they are looking at the car. So, I just avoid major highways and stay on the back roads where people don't see me. I drive for the sheer pleasure of driving and the experience of driving. With some of the cars you can put the top down and as you drive along you can smell the smells and hear the sounds and we just enjoy it. ROH: You loved science, cars and you obviously loved girls, one in particular. DA: That's right, one in particular. ROH: Jill is her nickname, so what was her maiden name? DA: Her real name is Eugele, which she hates and I love. I think it's a very pretty name. She was named for her uncle Eugene who was in the Second World War and not expected to come home. She was named Eugele Baird and nicknamed, Jill, which she prefers. 27 ROH: When did you and Jill get married? DA: That was in 1966. Probably didn't think I would remember that did you? ROH: I'm surprised you waited that long. DA: Well, you have to understand the dynamics. I followed her to Weber and we decided that we couldn't afford to get married and we should wait until both of us graduated from college. Jill was very religious, but I was not. She played better poker than I did. That's the way I describe it. She told me that she would not marry me unless we were married in the L.D.S. temple. I saw absolutely no reason to do that, but I would not be hypocritical about it and just go to the temple just to make her happy. We're all hypocrites, but for the most part I detest hypocrites. I started to study the Mormon Church to show her where she was wrong and why we didn't need to be married in the temple, and ultimately became converted myself. After I did that I went to her and said, "I think I need to go on an L.D.S. mission." She said, "Okay. You go and I'll wait." As luck would have it, I was called to go to France. The kids today go for 2 years and for part of that two year period they go into a very intensive training session where they learn the language. Back then, none of that training existed. If you went to a foreign country you went for two and a half years and the church figured it took you six months to learn the language and then you became effective. So, I went to France for two and a half years. ROH: What part of France? 28 DA: It was called the French Mission. I served in Paris, Bordeaux, Rennes, and Pau. Basically, the Western and Central part of France. ROH: That's pretty big territory. DA: Back then, there were only two missions in France. There was the French Mission and the French-East Mission. The French-East Mission covered Eastern France and the French speaking part of Switzerland. While I was there, they made the Franco-Belge Mission which was all of Belgium and the Northern part of France. Incidentally, that is where my youngest son went on his mission. I went to France for the two and half years and came home. I was determined to marry her as she was to marry me. Her parents didn't like the idea. They did everything they possibly could to persuade her to start dating boys while I was gone on my mission. She refused, and that created a lot of problems for her. She wrote me every day and would send the letter to me once a week. I would send her a letter every week. I would go without meals in order to save enough money so that by the time the two and a half years were over I had enough money to go to Belgium and buy a diamond ring for her. I designed it and purchased it. I came home in March of 1966. We were married in June and lived happily ever after. ROH: Where were you married? DA: We were married in the Salt Lake Temple, just like she said. It scared me to death. ROH: Did it? 29 DA: I was terrified. I tried to talk her out of it all the way to the temple. She wasn't about to listen to me. It was an off-handed way of talking her out of it, you know, "I'm too cool. I'm not going to back out," but I sure tried to talk her into backing out. I was terrified. I was also in a lot of pain. I had broken my foot the day before. ROH: How did you do that? DA: A plate glass mirror fell on it right across my foot and broke it. I refused to cast it because it would spoil her wedding pictures. So, I was in a lot of pain. ROH: Did you cast it after your wedding? DA: No. We left on our honeymoon and she did all the driving and I did all the moaning. ROH: Where did you honeymoon? DA: We went down to Bryce Canyon and I kind of hopped over the edge of the canyon and looked at it and said, "Okay, let's go." I was in too much pain, so we came home after a honeymoon for 3 days and I went back to work. ROH: All this time you were working for Albion, correct? DA: Yes. My father started Albion in 1956. He had previously been working for Pfizer and was in the line for the presidency of Pfizer. He was in senior management of Pfizer when he quit and came back to Utah where he started Albion. He had $250 and that's what he used to start Albion with. He had a concept that no one else had ever thought of and that was to sell veterinary pharmaceuticals to 30 farmers and ranchers. In 1956, if you had a sick animal, you would go to veterinarian and say, "Come look at my animal." He would look at it and you'd tell him what was wrong and then he'd sell you the drug at twice what he paid for it. What my father wanted to do while he was at Pfizer was to start selling these pharmaceuticals directly to the farmers and ranchers instead of going through the veterinarians. Pfizer refused to do that, so my father struck out on his own to show that it could be done. Well, the area that he envisioned was the Intermountain area in Utah, Idaho, Wyoming, Montana, Arizona, and Nevada. He had to travel throughout that area calling on the farmers and ranchers because no one knew that such an outlet for veterinary drugs existed. He had a retail store between 24th and 25th Street on Grant Avenue in Ogden. It was ideally located because the drugs that he sold throughout the Intermountain area could be packaged at the store and then taken to the post office which was on the corner of 24th and Grant or to the bus depot which was on the corner of 25th and Grant. So the store was half a block either way. Because he was out selling, someone else had to package and ship these drugs. At the ripe old age of 12, I went to work. I took a commuter bus, which was the Lakeshore Bus Line that went between Salt lake and Ogden. I'd pick it up in Kaysville, ride the bus to Ogden to open up the store after school. I would take the orders my father had written, package them and take the packages to the post office or the bus. I'd close the store at about 7 or 8 at night, 31 get on the bus, go home, do my homework, and go to bed. From that point forward, I just worked there. When I was on my L.D.S. mission, my father wanted me to come back and join him full time at Albion when I completed my mission. I said, "No, I don't want to." We had a lot of negotiations by correspondence and ultimately I said, "Okay. I will come back, but I won't work for you. I will work with you, but I won't work for you. Furthermore, if I come back, I would expect you to sell me part of the company at fair market price because I would never want anyone to say you gave it to me. So, I'll buy it and if you'll meet those two conditions, I'll come back." He said, "Fine." So, I did and by the time I got home he had named me the Vice President of Albion which really sounded cool until you saw all the work I had to do. Shortly after returning, I married Jill and went back to school at Weber while still working full time. Prior to my mission I had majored in chemistry at Weber College. While I was on my mission, I realized that if I were a chemist I would have to work for someone else. But, if I were a businessman, I could hire all the chemists I wanted. So, I changed my major when I came back to Weber and majored in business. I concurrently worked full-time at Albion and traveled extensively which made it very difficult to go to school. My father and I divided the responsibilities. He took production and R & D and I took marketing and administration. Part of my job was taking Albion from a small regional company to a national and then international company, which I did while I was still going to school at Weber. 32 ROH: How long did it take you to go national and then international? DA: Relatively quickly, probably a year or two. I was traveling a lot. I remember one convention that I went to that happened to be in Colorado that still stands out in my mind. I flew into Denver and arrived in the early evening concurrently with a blizzard that hit Denver. I had to go up to Ft. Collins, Colorado, so I rented a car. That was a terrifying ride on the freeway because the road was all snowed in. I arrived there late at night. The next morning I got up and went to work. I spent all day on the convention floor assisting one of my customers. That night, the customer wanted to go out to dinner and invited me to go with the employees. I told them I couldn't go to dinner and went back to my hotel room to study for a test that I had to take the next day when I got back to Utah. It was hard, but it was okay. Jill was working at Red Cross, but then she had the audacity to get pregnant on our honeymoon and nine months later our son came. She was awfully sick during her pregnancy so she quit and the responsibility of taking care of my wife and my soon-to-be baby was mine in addition to going to school. After he was born, she would come over to the college at noon and bring me a sandwich that I would eat as we walked back to the apartment where I'd get in the car and head off to work. I'd work until 8 or 9 at night and come home. I was still an undergrad. So, I did that and graduated from Weber. ROH: What year did you graduate from Weber? 33 DA: I think it was 1969. I went on and got a doctorate from Pacific Institute that was chartered by the state of California to give doctorates for research. It was not an academic degree, it was a research degree. I got that and later I went back and got an academic Ph.D in nutrition from Donsbach University in California. They wanted me to attend classes there and I just didn't have the time. I negotiated a deal with them that as long as I could pass the tests, I wouldn't have to go to class. Although everything was done by mail back then, the experience was much like doing coursework online today. I suppose in some ways I was a pioneer in doing online education. I graduated with a 4.0 from Donsbach and just continued on. ROH: You never got a master's? DA: I never got a master's. I have often wanted an M.B.A., but I'm too old and I don't have the patience. I don't need it, but I would like one. The biggest thing is that I don't have the patience. I can remember even in my undergrad taking a class in advertising and the professor wanted us to advertise an imaginary product. At the time, I had started a small advertising agency while working at Albion. I don't sleep much. Anyway, I had developed a campaign for a product. I developed the whole campaign, so it was not cheating. I had done absolutely everything. I didn't have the time to do busy work on an imaginary product, so, I took what I had done and presented it to the class. It violated some of the principles he taught. He got his master's degree at the University of Utah and drove 40 miles to Weber where he spent the rest of his life. He never had any practical experience in advertising. He started criticizing me in front of the class and I remember that I 34 lost my temper. I told him that he didn't know his fanny from a hole in the ground and I laid out what this advertising campaign had done for the company. Well, he was embarrassed and angry and he gave me a "C". I deserved an "A" but he gave me a "C". He never forgot or forgave me. He had a reputation for pulling kids out of the line as they were graduating and would say, "You can't graduate." I don't know whether that was true or not, but I believed it. When I was graduating I took my cap and partially covered my face before turning my head so he couldn't see me as I marched by. I was afraid he'd pull me out of line. He also became my major professor and made me jump through hoops to graduate. It was just a miserable time. The only consolation was that after I graduated, Weber offered me a job to replace him when he died. I didn't take it, but they did offer it to me. In my senior year, I joined a business fraternity because I was led to believe that it was where you would make contacts and that would be good for business. It isn't, but I was led to believe that. On one occasion they had arranged for us to go to a bank to tour the building and interview the vice president. We went down to what was then Commercial Security Bank on 25th and Washington in Ogden. I can still remember talking to the vice president. One of the kids had the audacity to ask, "How much do you earn as a vice president of the bank?" He puffed up and said, "I earn 450 dollars a month." I said, "Well, I earn more than that as a student, why would I want to be a banker." He looked at me and said, "Well, we get to play a lot of golf." I've never learned how to play golf, so I missed out on that opportunity. 35 One last thing on Donsbach University I ought to mention. About 1980, when four of my kids were in school, they were complaining about school work and saying that I didn't understand what it was like to go to school now because I went back in the olden days. More than anything else, that is what pushed me to attend Donsbach. I wanted to prove a point to them. I enrolled and I graduated one year later with a 4.0. I would come home from work and take care of my fatherly duties until about 9:00 p.m. I would study from 9:00 p.m. to usually 1:00 a.m. I would get up at 6:00 a.m. and would study again until it was time to go to work, work all day and repeat that whole thing. As I said, I graduated with a 4.0, wrote my thesis and got that approved and everything within that one year. The only time I went to California as it related to Donsbach was to get my diploma when I marched through at commencement. My kids came with Jill and me to commencement and after I got my degree, I turned to my kids and said, "Don't you ever tell me that I don't know what it's like." After that there was never ever a discussion about going to school or anything else and all of my kids have graduate degrees. ROH: Tell me about your kids. How many children do you have? DA: Five or six depending on how you count it. That always bothers a lot of people when I say that. I count it as six, but I have five kids. The sixth kid—a Navajo woman gave me her daughter and said, "She's yours, you raise her." I raised her as my own. I never formally adopted her, but I raised her, educated her and sent her to college. She still calls Jill and me "Mom" and "Dad" and her kids call us 36 "Grandma" and "Grandpa." As far as I'm concerned, she is a daughter. My blood kids all accept her as a sister. She's just one of us. ROH: What is her name? DA: Her name is Laurice. My first child was Stephen, who came about nine months after we were married. My next child was Jilane. She got her name while I was still on my mission. Jill and some of her girlfriends were composing names for their future children at one of her parties and she composed a combination of Jill and DeWayne. She wrote me and told me that her first daughter was going to be named Jilane. Next was Brett. Then came Angelique Racquelle—very French. My last was Heidi. ROH: Are any of them working in the business? DA: Three of them are. All of them have worked here. By the time my kids turned 12 or 14 at the latest, they had to go to work. They had to pick and choose what school activities they were going to participate in because they had to work. By the time they were sixteen they had to buy all of their own clothes. At 14, they would be preparing the meals and helping work around the house. Besides working, they had to work around the house and do yard work, but they didn't get paid for it. For better or for worse, none of my kids ever got into trouble. They were too busy working and doing other things. They never got into drugs or anything. All of them are workaholics and every one of them has risen to the top of his or her profession. All of them have had the opportunity to work at Albion and three of them elected to stay. Stephen joined Albion full-time while he was 37 married and a student. Angelique joined Albion after she got her master's degree and became a CPA. She was recruited extensively by most of the national CPA firms in Utah. She was an outstanding student. She chose to come to Albion although I did not have anything to do with it. Albion had to compete with the CPA firms to get her. Brett got his MBA and joined Albion after that. Jilane is the head of the English department at a junior high school and also teaches. Heidi teaches creative writing at a high school as well as having started her own business. ROH: You have quite a large family now. Did they get to earn allowances when they were younger? DA: No. Working around the house is what they owed me for giving them life. After I got married, I hit the road and was gone probably 60 percent of the time or more. On one occasion, I wanted to put in a spur on my sprinkling system and Stephen had helped me repair our sprinkling system in the past. He was about 13 or 14 at the time. I told him, "I want you to run a spur off there. I'll be gone on a trip so you just do it." He did and it worked very well. I still use it today. Another occasion, I told him to run a spur off in another area which had to go underneath the sidewalk. I didn't tell him how to get underneath the sidewalk, which was my mistake. So, he took a sledge hammer and broke the sidewalk to put the spur in and we had to pour cement and redo the sidewalk. They were expected to work and work hard and they did. When they were out working, they worked as adults—period. I worked with them whenever I 38 could, but the money that they received is what they earned from their employment. They had to learn how to budget it. I did one thing when they turned 16, I gave each of them a credit card and warned them about getting into trouble with it. Everyone did and every one of them went through the pain and misery of having to pay it off because I wouldn't pay their debts. It taught them the use of credit as well. I remember my oldest son, Stephen, still had a debt and he wanted to go on an LDS mission. I wouldn't pay his credit card off, so he had to stay home for several months to earn enough money to pay off his debt before he could go. ROH: Did all of the kids go on missions? DA: No, just my two boys. ROH: Did they go to France as well? DA: Brett went to France and Stephen went to Arizona. His Arizona mission was Spanish-speaking so he had to learn Spanish. He had to speak completely in Spanish all the time. ROH: What part of Arizona? DA: It would have been the Southern part. Tempe was the mission headquarters, but he spent most of his time in the South dealing mostly with illegal aliens. ROH: Is there anything else you'd like to add about your kids? 39 DA: I'm proud of every one of them. They're all good kids. They married well and everyone is a productive member of society contributing to the betterment of society. I'm proud of them. They are just good kids. ROH: Can you tell me a little bit more about this daughter you raised from this Native American woman? How did that come about? DA: The Mormon church had a program in the earlier days called the Indian Placement Program where they would bring kids off the reservation, house them with Caucasians, and let them go to school in a better environment. The church was in hopes of bringing them out of poverty, alcoholism and things that are associated with the reservations. Laurice started in that direction with someone else. She was not doing well in the school program and was a "D" and "F" student. She was basically dropping out of the program and they talked her into coming back. I was just asked to take her because she was failing. I said, "Fine." I treated her just like one of my kids, my oldest daughter had moved out so Laurice had a bedroom to herself. Angelique was older than she and Heidi was younger than she and both were straight "A" students. One pulled and the other pushed Laurice. She went from "D's" and "F's" to straight "A's." When she graduated, she wanted to go back to the reservation. Her ambition was to get a couple of horses and ride them on the reservation. I said, "There's no way in the world I'm going to let you do that. You've got too much potential and you cannot do that." She said, "Well, this program is over." I said, "I know, but there's still no way I'm going to let you do that." Her mother had come 40 up to her high school graduation and she could not speak English, had no electricity in her Hogan and had no running water, yet she gave this girl a computer for graduation and gave her to me at the same time. She said, "Keep her." So I did. I sent her to Weber. In fact, the future president of Weber, Ann Milner, pulled strings to get her in because while she received "A's" while she was with us, there were "D's" and "F's" from before so she was not really a good candidate as far as the university was concerned. Ann pulled strings for me at my request. Laurice earned "A's" at Weber too. Ultimately, she married and has remained here in Utah. She's a good kid. She's got two kids that are straight "A" students too. In fact, I just got an email from her this weekend telling me about what was happening with her kids. ROH: How old are her kids now? DA: They're in junior high and high school. ROH: You raised wonderful children and some of them work here. I find it interesting that the other two work in English related fields similar to your mother. DA: Well, blame it on my grandfather. One of my grandfathers had an eighth grade education. The other graduated from the University of Utah and spoke Latin fluently. Both were farmers, but my grandfather that graduated from the University of Utah had the uncomfortable habit of correcting everyone's English. In fact, my father remarked that it got to a point with him that he refused to speak around my grandfather because his grammar was so atrocious. My grandfather passed his habit on to my mother and she was a stickler for grammar. She 41 passed it on to me and I passed it on to all of my kids. I don't correct people like my grandfather did, but I would correct my children and I expected them to speak properly. I also passed on to them a love for books. I've got a room that is probably about a third the size of this office that is a formal library with bookcases that are perpendicular to the wall going floor to ceiling. I have thousands and thousands of books in there and I encouraged my children to read and to read the classics. We would talk about them and they love books. All of my kids are voracious readers and whenever I had the time and was in town, I would correct my children's written compositions when they were in school. I even did it when they went to college. Speaking correctly is important and they passed it on. It was my grandfather's fault. ROH: What was your grandfather's name? DA: Rupert Morrill. ROH: Today is November 26, 2012, we are picking up oral history with DeWayne Ashmead in his office with Rebecca Ory Hernandez. DeWayne, you were getting ready to tell me about a funny story. DA: In the early 1970's, we needed to establish some of our products nationwide. I went out and lectured and worked with a customer and his customers for about six months. I would leave on Sunday and come back on Saturday and turn around and do it again for about six months straight. I just worked very hard. One of the companies I was working for was in the Midwest. On one occasion, I flew 42 into Chicago and a company man picked me up in the middle of a terrible snow storm. In the Midwest, the snow drifts. We went to one place where I was scheduled to speak that had 250 people committed and not one person showed up. So, we went to the next town where we were going to do this again, but on the way we were going down the road and the snow drifted. It was 10 or 12 feet high on one side of the road and the department of transportation had only cleaned off one lane. We were going down this lane and a Volkswagen came toward us. The guy I was with wouldn't slow down. I said, "Buck, you need to slow down." He said, "No, it's my road." At the last minute, the driver in the Volkswagen realized he was not going to move off the road and the Volkswagen dove for the snow drift and was just buried. I said, "Buck, you've got to stop and help." He said, "Hell no, he was in my side." So, he kept right on going. I couldn't get him to stop. We got to a Holiday Inn that evening and there were so many travelers stranded that everyone was required to share a room with someone else. I was the only person in the entire hotel that had a room to myself. It was so bitterly cold that I turned the heater up in the room as high as it would go and took all the blankets off the other bed and put them on my blanket and it was still freezing. The next morning, I got up and snow had drifted underneath the door about two feet into the room. It was so cold it had broken all the pipes so there was no hot water. We turned around and went right back to Chicago and everyone went home. That was one of the 1970's storms. In spite of the storm, this form of promotion and speaking was a good experience. In six months, we went from 43 zero to $3 million in sales with only one product. It was an iron product for pigs. I can tell you all about pigs. I know a lot about them. I like to work with pigs in research. They are very similar to human beings. They have the same metabolism, so if it works on a pig it will work on a human or vice versa. I applied a lot of what I learned with pigs to human beings as we developed nutritional programs for humans. ROH: Tell me a little bit about the company and the kinds of product that you offer. DA: The company grew and as it did we started manufacturing vitamin and mineral supplements for animals. Ultimately, it became the largest manufacturer of vitamin and mineral supplements in the United States. We were manufacturing for lots of different companies, but never under the Albion name. Instead, the products went private label for other companies. Albion also started manufacturing veterinary pharmaceuticals and became the largest manufacturer of veterinary pharmaceuticals west of the Mississippi. All of these things were very price-sensitive and we were looking for other things to do that were less price-sensitive. One of the things we did that I got involved in at the age of 16 or 17, was help develop a drug that dissolved kidney stones. We got a patent on it and my father is named in the patent. I'm not named in the patent, but I did a lot of the research primarily with sheep. We got Food and Drug Administration approval to market this product in certain species of animals and it was a very successful product. It really started to make Albion. The drug operated due to the principle of 44 chelation, which is a chemical term describing how a chelating agent will grab a mineral and hold that mineral. In the case of this drug, it would hold the mineral so tightly in the urine that the mineral could not combine with other substances to form a stone. The animal would then eliminate the mineral as a chelate in the urine as it voided its bladder. We did a lot of research with humans as well, but never got an FDA approval for human use. We became experts in the science of chelation. Along the way, we noticed that the animals were not efficiently absorbing the minerals that were being provided in these vitamin and mineral supplements that the company was also making. We could pick up those same minerals in the manure. So the question was: why aren't the animals absorbing these minerals? Albion has always had the reputation for high quality, so we wanted minerals that would absorb. We learned that for the animal to absorb a mineral, such as iron sulfate, it had to take the iron and tear it away from the sulfate. The iron then had to be chelated by amino acids that came from the digested protein in the food. The amino acids would bind the minerals and basically form an organic molecule, which the animal could then absorb. If you look in your body or the animal's body, there are no inorganic minerals other that in the bones and teeth. They're all organic molecules. When we discovered that the animals had to create these organic mineral molecules in their stomachs and intestines, we said, "Well, why don't we pre-chelate them?" No one knew how to do that, so it took a lot of research. I was deeply involved in doing the research and we developed minerals that were 45 bound to these amino acids as chelates prior to ingestion. We were awarded patents on them. Today, we have about 150 patents on this type of product. When we gave these amino acids to the animals, we expected to see greater absorption. We were surprised when the performance of the animal also changed. They grew faster, had better feed conversion, less morbidity, less mortality and better reproduction efficacy. We suddenly discovered that we had opened a whole new area of nutrition. Over time, we eliminated the veterinary supply business at Albion, eliminated the vitamin and mineral supplement division, got rid of the pharmaceutical production and focused exclusively on production of amino acid chelates. We introduced these amino acid chelates to the human nutrition market in about 1968. By 1970, it was pretty much established. The animal nutrition market was before that in the earlier 1960's. That business was what I was trying to establish when I was traveling early on in my career. In 1975, we entered the agricultural market and started selling amino acid chelates for plant use. So, it was plants, animals, and man. We built on all three fronts and it was difficult because we didn't have sufficient money. My father was a product of the depression and he did not like borrowing money. He did, but it was hard for him to borrow money. Consequently, we built the whole the thing out of our profits. We still do that for the most part today. We can borrow millions and millions of dollars, but I refuse to let the company do it. We're qualified, the banks say we can borrow all the money we want, but we just don't. We paved the way in human nutrition. I remember in the 1970's the FDA decided that the amino 46 acid chelates were a new product class that was not approved, so they started seizing products made by other companies that were trying to copy Albion. No one made them the way Albion did, but that's been the marketing program for competitors from the very beginning, "We're just like Albion, but cheaper." Anyway, the FDA seized those products from the other company and we could see the writing on the wall that eventually they would get around to Albion. We decided to be proactive and sue the FDA in federal court. We said, "Our chelates are safe and effective. You prove they aren't." The FDA looked at our data and signed a consent decree saying they agreed that Albion products are safe and effective. We became the only chelated product that was approved by FDA to be on the market. It made sense to sue the FDA at the time, because if we had gone the traditional route the FDA could take 180 days to look at something and they could ask a question which we would answer. Then it was another 180 days. They could delay approval for years and in the meantime, we would have been out of business. By suing them in federal court, we forced them to look at our data immediately and make a decision immediately because it's in the court. Today, we still continue to focus on these amino acid chelates. During the recession of 2008, we sold the animal division. It was a hard thing to do emotionally, but it was the right thing to do business-wise. So, we sold it to another company, but we still manufacture the chelates for them. We're still in the business, but not under the Albion label. That's gone, but we still do the human and plant products under the Albion label. ROH: Tell me about how you've impacted the agricultural system internationally. 47 DA: Going to business school, I learned that the worst recession to occur since the great depression in 1956 was the year Albion started. When I learned about that I went to my dad and said, "Why did you start a company in the middle of the worst recession since the great depression?" He looked at me and said, "Recession? I didn't know there was a recession, I just knew it was damn tough." That was always my father's attitude, just plow ahead and forget all the problems or the reasons why you can't do something. Just go do it. We continue to do that today to a degree. Anyway, I took the marketing side of it and I went across the United States and built a national chain of outlets for the human and for the animal divisions. If you remind me I'll come back to the human, we did something that I think was quite clever. I started looking internationally and I started going to Europe first with the animal products for some countries followed by the human products. We started getting customers, suppliers and building up the business. One of the biggest ways to sell a product was to stand up in front of a group of people and tell them why these products were good and let them take shots at you. The scientists would and I would answer their questions and convince them. We went throughout all of Europe and established markets there. I spent a lot of time in Europe which is one of the reasons why I don't particularly care whether I go back now or not. I've seen all of Europe that I want to see. We did that and it was primarily building up the animal and human sales. I established human sales in South America using Brazil as my center of influence and in Central America using Guatemala as my center of influence and spreading out. 48 ROH: Is there a reason for those particular countries? DA: At the time, Brazil was the very best country for economic development of any country in South America. Even to his day, Brazil, Argentina and Chile are really the best countries in South America. They've got stable governments now and economically they're in pretty good shape. One of the things I refuse to do is deal in other currencies. I deal in U.S. dollars. A lot of these countries don't have the dollars. I never was able to truly establish the animal business in Central or South America primarily because they fed their animals differently than what we did in Europe or in the United States. Most of the animals are grass fed, not supplement fed and Albion products go into supplements. So, that didn't work very well, but we established our agricultural division with our chelates for plant use in South America and Central America and it has grown extensively there. At one time, I knew more presidents of countries on a personal level than did the president of the United States. I would be at their homes. For example, one of the presidents of Panama, President Royo, would invite me to his home and he and I would play baseball with his son and my son out on his front lawn. This is the man that Noriega put a gun to his head and said, "I'll give you one of two choices. Either you resign or I pull the trigger. Which do you want?" One of my other friends was President Anwar Sadat. We started to develop the agricultural area in Egypt. When Jimmy Carter was president he brokered the peace accord between Israel and Egypt. Anwar Sadat had promised his people that if he could get peace with Israel, he would take some of the money that he had been spending on defending the border between Israel and Egypt, and grow 49 food for the Egyptians. Well, they got the peace, so he called me and a few others to come to Egypt and help him set up agricultural programs that would fulfill his promise. I went to Egypt to meet with him and did surveys in Egypt to determine what needed to be done. He wanted to put American technology to work in Egypt, so I said, "What I'm going to tell you, I'm philosophically opposed to, but it's the only way you can do it." In Egypt, the father would divide his farm between the sons, who would divide the farm between their sons. The average Egyptian farm is one quarter acre in size. I said, "You need to go into a village and say, "Okay, all of you are going to grow cotton." Go to the next one and say, "All of you are going to grow beans." You will have to dictate what they do and then you can bring the American technology and the large equipment into Egypt in order to get your economies in scale. Unless you do that, there's no way that you can do it and bring American technology in." He agreed with me and started to set up the programs I had outlined before he was assassinated. Mubarak didn't care about his people the way Sadat did. He hadn't made the promise and he wasn't about to spend money on something like that, so he shut the project down. On one occasion, I told Mubarak that I could eradicate iron deficiency and anemia, which was the single biggest disease in Egypt. I even offered to guarantee in writing that I would eradicate it and it would cost him 34 cents per person per year. He said, "No, that's too much money, we don't care." So, it didn't happen. From that we expanded into the Middle East and had offices in Beirut and worked in Saudi Arabia, the Emirates, Egypt, Morocco, and Lebanon. 50 ROH: Is this mostly animal? DA: This was the agricultural, plant division. It was growing bit by bit. One story I was going to tell you—a human story. Originally, when I set up the human business in the United States, it was through distributors. We would manufacture the chelates for nutritional companies and they would put their labels on our products and offer them for sale, but they wouldn't really go out and promote the products. They would offer them for sale as part of their entire product line. If the store wanted our products they would order them. The stores didn't purchase our products very often because they didn't know anything about them. I needed to go out and promote the chelates, but I didn't have any money to do it. I started another company called Rhondell, which was a division of Albion, but on the surface it looked like it was a separate company. It sold nothing but chelates to the customers of our customers. In other words, it was a competitor to our customers. Its mandate was to go out and sell these chelates and break even. I didn't care if Rhondell didn't make profit. They wanted to sell them at a lesser price than their competitors, but I didn't let them. They were always more expensive than the competition, but they sold chelates, talked about the chelates and advertised the chelates. Suddenly, the entire nutrition industry in the United States was abuzz with chelates. They'd come to Albion and say they want amino acid chelates that could compete with this Rhondell Company. We established the amino acid chelates in the in the marketplace and after they were established and everyone knew about them, I killed Rhondell. It never cost me anything to introduce and promote the products. 51 ROH: If one would have heard about chelation of blood for example, is that the same product? DA: No. There is a process called chelation therapy and I think that's what you're referring to. Chelation therapy is taking a synthetic chelate like EDTA, Ethylenediaminetetraacetic acid, and injecting it into the blood stream. The theory is that if you have atherosclerosis or arteriosclerosis you have formed a calcium deposit in the blood vessels. The EDTA would come in and chelate the calcium in the blood and hold it so tightly that the body couldn't tear it away. The EDTA, being foreign to the body, would then be dumped into the urine and take the calcium with it. However, EDTA doesn't know the difference between calcium, iron, zinc, magnesium, etc., so it would chelate all of them. This could cause health problems. I was very critical of this except when it was done in a hospital. A lot of doctors were just doing Chelation Therapy in their offices and there were several people that died as a result. In fact, the pioneer of chelation therapy, Rudolf Alslaben, who was an acquaintance of mine, lost his license to practice medicine because he accidently killed a person with EDTA injections. Chelation Therapy was originally used for lead poisoning and done in the hospital. It's still done in the hospital for lead poisoning, but it can be very dangerous for treatment of atherosclerosis or arteriosclerosis. That type of chelation therapy is to get rid of minerals from the body. What Albion is doing is trying to get minerals into the body. 52 ROH: Tell me a little bit about your company today. What is the focus? DA: I guess today you'd have to ask others what they see. I'm a has-been. Today, the company is growing very rapidly. We have plans in place to expand the sales significantly in the days to come. I still hold the position of president and chairman of the board, but I am really not much involved in the day-to-day activities. We've got a good management team in place. They are working hard and are much younger than I am and have more energy. They're smart so they do it. My oldest son, Stephen, is involved. He is the heir apparent. My daughter Angelique is involved. She is the CPA and has a master's degree in accounting as well as a master's degree in computer science. She is a candidate for the CFO. My other son is over purchasing internationally, and has just been promoted to the chief operations officer for the company. These are Board appointments. I didn't have anything to do with them. We have outside people as well. We've got outside attorneys and the chief executive officer is not a family member. It makes a good team and they are all working hard. They do a good job, so I just let them go. ROH: Will the focus remain as you intended? DA: No, the focus doesn't remain as I intended because the situation changes and if I were to continue to go exactly the way I saw it ten years ago, we'd be out of business. We have to adapt. For example, I did not like the idea of selling the animal division. That pulled on my heartstrings because that's where Albion started. I worked hard to develop that business. If I had followed my emotions, 53 we would have never gotten rid of the animal division, but it was still the right thing to do. It was advocated initially by the CEO, Jim Hyde, as the right thing to do and as I analyzed his rationale. I agreed with him, but I didn't like it. So, in the future will we be exactly the same as we are today? No. We'll still adapt, modify and grow. We plan to be around another 50 years. ROH: The company is just one of these little secrets that we have here in our neighborhood. DA: Well, it is because our market is not in Utah. We live in Utah because we want to be in Utah. My kids had no idea who I really was or that I could walk into Anwar Sadat's home and be his friend, or walk into other famous people's homes and call on people around the world. They had no idea that outside of Utah I was quite famous. That was on purpose. I just wanted them to think of me as "Dad" and they did. Outside of Utah we are better known. ROH: How do you want to be remembered? DA: I don't care if I am. There are those that want to have buildings named after them and institutions named after them. I don't care about that. I really don't. I want my children to remember me and my grandchildren to remember me for what I stood for, what I was, and who I was and not what I've accomplished in a material sense. ROH: You're a very giving person, so I don't know if you're willing to talk about this on the record or not, but you've made some significant contributions to a lot of 54 different groups in the community, so tell me a little bit about your involvement with giving to Weber State. DA: As I told you earlier, I was working full-time and going to school full-time. For several years after I graduated I didn't have anything to do with Weber. I wasn't unhappy with Weber. I got a good education. I just didn't have anything to do with Weber. Then, Paul Thompson became president of Weber and had a focus that was different than previous presidents. I knew the previous presidents and still do and we visit from time to time. Anyway, Paul Thompson came into my office and talked with me about Weber and kind of sucked me in. I started paying attention to Weber and Paul asked me to be on the National Advisory Council, and that went on for a while. One day, Paul made a presentation at Weber about single parents that were struggling to get through school and how difficult it was. It really touched me, so Jill and I talked about it and we decided that we would start helping these single parents. We didn't care what their majors were or what the sex was, we would just help them. We started doing that and it just grew from there. ROH: You've served on lots of other boards as well, I'm sure. DA: I was asked to serve on the advisory board for the Goddard School of Business and Economics and I did that for several years. Ann Milner asked me to serve on the advisory council for the Health Professions, so I did that and continue to do that. They're trying to decide what they're going to be when they grow up and are having a hard time right now defining their objectives. That's not going very well 55 right now. The Arts & Humanities are talking to me about serving on that board. I haven't said yes, but I haven't said no we are just talking. I do that in addition to the National Advisory Council. I also serve on a board at the University of Utah, the board of the McKay Dee Hospital and the board of the YMCA. That is in addition to the boards of Albion. I also serve in a leadership position in my church. ROH: You've lectured I'm sure. DA: I have taught a few classes at Weber in business as well as the health sciences. I've done the same thing at the University of Utah and sit on a couple of advisory boards there too, but my heart really is with Weber. So, we just continue to go forward. ROH: You're being very modest. You also received an honorary doctorate degree from Weber. DA: Yes I did. ROH: What was that process like? DA: Well, you have to be nominated by someone else. I was nominated by someone, but I really don't know who. Carol Bittle came to me and said, "We need to put together a CV." So I helped her put it together and she submitted it to the selection committee and they said, "There's no way we're going to give him anything." Actually, they did turn it down. They didn't like what she had done, so she came back a second time and said, "We need to improve this." So, I did what 56 she asked and she re-submitted it and they selected me for an honorary doctorate. It's really significant from several points of view. My mother was still alive at the time and it really touched her and was really important to her. My mother had a doctorate from the University of Utah and my late father also had a doctorate. I had a doctorate from another institution, but this meant a lot to her to be honored that way. There was one other honor that I received that meant a lot to her and it was gratifying to receive. I was recognized as entrepreneur of the year by Ernest and Young. ROH: That's significant, DeWayne. DA: You think so? It was kind of neat. They came in and did a lot of interviewing and taping of the interviews with me and others that were being nominated. We went to a banquet and no one knew who was going to be honored. I really didn't want to go, but I went and I was awarded the recognition. ROH: Congratulations. DA: Thank you. ROH: Are there any other significant accomplishments connected to the company that you might want to mention? DA: I suppose one thing that is important is that I've authored eleven technical books on chelation. Some of them have been used as university textbooks. The most recent was published this year, 2012. It is a very defining book. It describes how a chelated mineral is absorbed into the intestinal cell, then into the bloodstream 57 and from the bloodstream into the cells of the body. I have been told that the research is Nobel Prize winning material. ROH: What's the title of the book? DA: It's called, Chelated Mineral Nutrition in Animals and Humans. ROH: Who is the publisher? DA: CRC Press, which is one of the major scientific presses in the United States. That made me feel good. I don't think there's another book in me like that. ROH: You don't think so? DA: Not like that. ROH: Except for the one you're writing about your father. DA: Well, that's a little different. When I started to write the last book on chelates, I got it about half done and had to go in for open heart surgery to correct a congenital problem. I thought, "Well, when I come out of surgery I'll be recovering for a while and I'll finish the book." I found that I couldn't even think for months. So, the book sat unfinished and when I picked it up to finish it, I couldn't remember what I had written so I had to start all over again and rewrite the book. So, it was about a three year process. The book went through about 23 drafts before I was satisfied with what it said. ROH: Goodness. DA: I then submitted it to the publisher. 58 ROH: So, you didn't mention the heart business earlier on, did you use any of your nutritional technology in recovering from your heart surgery? When did that happen? DA: Three or four years ago. I've known about this congenital defect, my valve would not close. When they got into my heart they also found that I had a hole in my heart that was congenital. The valve wouldn't close which on one hand was pretty good because it kept me out of Vietnam. I never wanted to go to Vietnam. It didn't really bother me, but for several years I was consulting a cardiologist just watching it because as I got older I recognized that this problem was going to manifest itself more and more. On one occasion, in the summer, we were doing a Concore d'Elegance— a car show where we brought cars in from all over the United States. I was involved in the management of this show and people that were on the organizing committee kept dropping balls and I kept picking them up. Pretty soon, I was juggling all the balls. By the time the show occurred in August of that year, I was absolutely exhausted. After the show was over, my wife and I decided to go on this little vacation and when we got to Colorado in the high country I couldn't breathe. She wanted to put me in a hospital and I refused to go to the hospital. I sit on the board of a hospital, I know what hospitals are like. We came back to Utah and I went to see the cardiologist. He said, "It's time." So, I went in for surgery. The cardiologist as well as the heart surgeon said, "Other than the fact that you have the congenital problems, you're really as healthy as anyone I've ever operated on. However, this is pretty serious business." The cardiologist told 59 me that I had less than a 50 percent chance of living through the surgery. The surgeon said, "I'm going to guarantee that you'll wake up, I just won't guarantee where. So, get all of your "T's" crossed, "I's" dotted and take care of all of your personal affairs because you may not make it." I did and went in for surgery and I did just about die. I was within two or three minutes of dying. They missed a bleeder and I about bled to death. They went through five or six pints of blood. ROH: Where did you have the surgery done? DA: McKay-Dee Hospital. North of Salt Lake, McKay-Dee is probably one of the best heart hospitals in the state. There are probably surgeons as good in Salt Lake, but I had a personal relationship with the ones at McKay-Dee and they were good too. They are nationally recognized, so it was okay. ROH: How are you feeling now? DA: Ornery. ROH: Good, you're back to your old self. DA: There you go. I feel fine. ROH: It must have scared your family though, and your business colleagues as well. DA: I think it probably did. They watched over me pretty carefully. My son wouldn't let anyone come in to see me. People from work would try to come and see me and he'd stand guard and just wouldn't let them come in. It was touch and go for a while. 60 ROH: You're doing great now, so what are your plans for the future? DA: Just more of the same. I have no intention of retiring. I like to work. If I were to retire, what would I do? I don't really have anything I want to do full-time other than work. As I said, I sit on the board of University of Utah, Weber, the hospital, and the YMCA. I'm happy doing what I'm doing. ROH: We talked a little bit about that last time. How many cars do you have now? DA: I don't know. See, if I don't know then I can honestly say in front of my wife, "I don't know." ROH: Is it more than 50? DA: More than 50. ROH: Should I stop there? DA: Probably. It's approximately 60 cars, but I really don't know. ROH: What is your favorite? DA: I don't have a favorite. That's like asking, "Who's your favorite kid?" The cars are primarily sports cars and performance cars. I have three criteria for a car. One, it's got to be a sports car, but I can make anything into a sports car. I can rationalize lots of things. For example, I have a 1966 Pontiac GTO and this Pontiac GTO raced the Ferrari GTO and beat it. If the Ferrari is a sports car, then the Pontiac must be a sports car because it beat the Ferrari. I rationalize it. Then, 61 it has to be rare or unique. I have a lot of cars that are the only one ever built. Third, I just have to like it. ROH: You love sports cars and you love art. Do you have any other hobbies? DA: Well you said, "Anything else?" I was going to say, "I love my wife." ROH: Of course, we know you love your wife and your family and your company. DA: I like genealogy. I do genealogical research. I wrote a book about my family tracing the Ashmead's back to 1530 up to 1968 which was the death of my grandfather. My father asked me not to write about him while he was alive, so I respected that and now I'm doing it. That book was published. My manuscript was about 1,600 pages and I had to go to a professional editor and have the editor pare it down to about 1,100 pages. I couldn't do it because everything I said was important, so the editor had to determine what was not important enough to put in the book. I published that, which was kind of a fun thing. It's in most genealogical libraries and major historical collections. ROH: We know you've met lots of important people throughout your life as well. Is there any particular meeting with a head of state or anyone in general that stands out in your mind? DA: There were three most significant events in my lifetime as far as I'm concerned. One was in 1957 with the launching of Sputnik by the Soviet Union. That was a major thing for me. Another was in 1963 when Kennedy was assassinated. The thing that really impacted me from a different point of view was when Dr. 62 Christian Barnard did the first heart transplant. That has always stood out in my mind as a major accomplishment. It was one of the most phenomenal things that had ever happened. Dr. Barnard, years later in the 1990's, read my published research. He was so impressed with it that he decided to come and see if I was really for real. He got on a plane and flew from South Africa to Salt Lake to meet me and we became good friends. Meeting Chris Barnard was one of the highlights of my life. He never looked at himself as being that spectacular and he'd say, "It was just another operation." For me, it was phenomenal. I've counted Chris Barnard as one of my good friends. He came to Utah several times and I went to South Africa several times. Ultimately, he was at a swimming pool in Greece when he had an asthmatic attack and didn't have his inhaler with him and died. I've always looked back at Chris Barnard as probably one of the more important people that I have met. ROH: What piece of your research was it that he read? DA: It wasn't a piece, it was the whole thing. He read the whole philosophy. Keep in mind, I have published about 250 magazine articles and 60 or 70 peer reviewed journal articles. I don't know what pieces he picked up, or if he read all of it. Somewhere in there he read it and after his first visit to Utah he called a press conference and said, "I'm going to spend the rest of my life promoting the concepts of Dr. Ashmead." ROH: How long did he stay when he came to visit? 63 DA: About a week. One of the things I did was organize a private dinner for him and all of the employees at Albion so they could all have dinner with Chris Barnard. I still remember one of the employees being so overwhelmed being in his presence that she just broke down in tears and just sobbed. When I opened China with the animal products, I went to China and was the first American to lecture in China following the closure of the borders by Mao. I lectured in Gaungzhou (Canton) at the university. My host for that was a professor that had been educated in the United States had gone back to China. During the Cultural Revolution, he was a ditch digger. After Mao died and China started to reinvent itself, he became a professor again at the university. He served as my translator and I lectured all morning. Somewhere around noon or 1:00 p.m., I quit lecturing and we broke for lunch. We went somewhere for lunch and when we came back, the lecture hall was filled with the same people. I turned to my host and said, "How did they know how long I was going to be gone for lunch because I had no idea where we were going?" He said, "They didn't know. They dared not leave for fear that they would miss something that you said. These people in the audience are all university professors and they have traveled from all across China to hear you. Some of them traveled for several days just to get here." That was very touching. I said, "I want you to arrange a banquet. I'll pay for it. I want to feed all of them while they're here." We did and it was an interesting banquet. I went around and toasted every table because they were all in the round tables. Since I don't drink they thought it was really funny the way I toasted them, but I did. One waitress lost her job because she didn't 64 give me the pigeon head, which was reserved for the most important person at the banquet. She gave it to someone else. I assured them it was perfectly fine, but she still lost her job. Later, I couldn't get the group at the banquet to go home. They sat there and sat there. Finally, I turned to my host and asked, "How do we get them to leave?" He said, "Well, you've got to excuse them. You go stand at the door and they'll get up and shake your hand and leave." I stood by the door and they all shook my hand. The old professors before Mau would bow and shake my hand and the young professors that were trained during Mau's time were ram-rod stiff, but would still shake my hand. It was a very touching thing to have professors from China come to Gaungzhou just to hear me speak. ROH: Is there anything that people might be surprised to know about you? DA: Well, if they couldn't see me on the camera I could say that I'm really good looking, but they can see me on the camera. I think that I have a lot of interests and when I focus on an interest I can become very focused on it. There are things that depending on which part of my life you're in, you would not know about the other parts of my life because I really focus on that single aspect when I'm there. We haven't talked much about it, and I won't talk much about it, but I'm really very religious and that is extremely important. I'm deeply involved in the LDS church and have been in a leadership position most of my life and continue to do so. If you saw me in a church setting, then I'm very religious and I hope it 65 translates into other aspects of my life. I hope that I still maintain that religious integrity. ROH: I think it does. I don't think people would be surprised by that. DA: That's important. If you deal in cars, I am really involved in cars and I am an expert in cars. I judge car shows all over the United States because I'm an expert. I am a master judge at these shows. If you talk about Albion, you can go one of two ways in the company. I'm a businessman and I really am a businessman. We have built an international business because of the work that I started and its now being carried on by others. I'm also a scientist and I am considered a good scientist and am well-known in the scientific circles for what I do. So, you've got those too. If you talk about art collections, I can get involved there. There are all of these different aspects of my life and if you only see one of these aspects, then I think you would be surprised at the others as you came to know me. My kids used to laugh at their friends because they would say, "Your dad is so serious and so strict." My kids would say, "You don't know my dad. He's got a great sense of humor and he's a tease." I am, but what these kids were seeing was one of my sides, not all of my sides. Whereas, my kids would see the other sides and know me differently. I don't know if that answers it. ROH: It certainly does—science and art, cars, and religion. Is there anything else that I haven't asked that you were hoping or expecting that I'd ask you? 66 DA: Not really. I would want it known that my wife is very important to me. She and I have been sweethearts since the age of 16 and at that ripe old age we wanted to get married. We waited until we were 22. We've been sweethearts forever and in three more years we will celebrate our 50th anniversary. She has been by my side the entire time. In the early days of Albion, she helped. She never got paid, but she worked at Albion. She saw the struggles and never once complained about my traveling. She never complained about my church work when I was at home. I would come home from work and immediately go do church work until late at night and she never once complained right up to the present. Yesterday, I left about 7:00 in the morning and came home about 6:00 at night and she didn't say anything. I appreciate that. She did a great job with raising our children. We've got five fantastic kids that were never in trouble and all of them educated. We've also got eighteen grandkids. I attribute that to my wife, not me. She's been my partner, my sweetheart, everything and that's more important than anything I've got. ROH: Thank you so much, DeWayne. We appreciate the time you took in sharing your story. I really appreciate your time. DA: You're welcome.

Issue 52.1 of the Review for Religious, January/February 1993. ; rel i gious Christian Heritages and C0mempora~ Living JANUARY-FEBRUARY1993 ,,VOLUME52 ¯ NUMBERi Review for Religious (ISSN 0034-639X) is published bi-monthly at Saint Louis University by the Jesuits of the Missouri Province. Editorial Office: 3601 Lindell Boulevard ¯ St. Louis, Missouri 63108-3393. Telephone: 314-535-3048 ¯ FAX: 314-535-0601 Manuscripts, books for review, and correspondence with the editor: Review for Religious ¯ 3601 Lindell Boulevard ¯ St. Louis, Missouri 63108-3393. Correspondence about the Canonical Counsel department: Elizabeth McDonough OP ¯ 5001 Eastern Avenue ° P.O. Box 29260 Washington, D.C. 20017. POSTMASTER Send address changes to Review for Religious ¯ P.O. Box 6070 ¯ Duluth, MN 55806. Second-class postage paid at St. Louis, Missouri, and additional mailing offices. SUBSCRIPTION RATES Single copy $5 includes surface mailing costs. One-year subscription $15 plus mailing costs. Two-year subscription $28 plus mailing costs. See inside back cover for more subscription information and mailing costs. ©1993 Review for Religious for religious Editor Associate Editors Canonical Counsel Editor Assistant Editors Advisory Board David L. Fleming sJ Philip C. Fischer SJ Michael G. Harter SJ Elizabeth McDonough OP Jean Read Mary Ann Foppe Joann Wolski Conn PhD Mary Margaret Johanning SSND Iris Anti Ledden SSND Edmundo Rodriguez SJ S~fin Sammon FMS Wendy Wright PhD Suzanne Zuercher OSB Christian Heritages and Contemporary Living JM',/UARY-FEBRUARY 1993 ¯ VOLUME 52 " NUMBER 1 contents 6 feature The Religious Life Futures Project: Executive Summary David J. Nygren CM and Miriam D. Ukeritis CSJ provide a summary of "The Future of Religious Orders in the United States" (FORUS), a comprehensive study of the opinions, beliefs, attitudes, and practices of men and women religious. 56 69 growing spiritually A Developmental View of Salesian Spirituality Joann Wolski Conn examines a process of self-knowledge through the lens of the lives of St. Francis de Sales and St. Jane de Chantal. The Cloistered Heart Nancy Shuman provides snapshots of her journey into a heart cloister for finding a union with God. discerning vocation 86 The Transfer and the RCIA: Process and Ritual 102 Kathleen Hughes RSCJ and Barbara Quinn RSCJ draw outlines of development from the RCIA process for the transfer of a religious from one community to another. Vocations among Teaching Brothers Eleace King IHM provides the encouraging results of the CARA study of vocations in teaching brothers communities. 2 Review for Religious 111 119 131 living religious life Internationality: Intentional or Accidental Catherine M. Harmer MMS focuses on the structural aspects necessary for a religious group to be intentionally international. Mission before Mission: God's Mission within Us A. Paul Dominic SJ develops the insight that the mission of individual Christians is one and the same as God's mission in themselves. Talents for Living in Community Melannie Svoboda SND proposes eight "lesser" gifts of personality and attitude which enable people to live more graciously with others. departments 4 Prisms 140 Canonical Counsel: New Communities 147 Book Reviews January-February 1993 3 prisms Anew year ushers in new life. Newspapers in every city vie for the picture of the first baby born in the early moments of a new year. Perhaps all of us need to image ourselves in that picture of a newborn and ask our-selves what kind of fresh life we seek in this year 1993. As we enter into this new gift of time, God's grace con-tinues to be a light to our mind and a strength to our will. In 1993, what light do we seek for our faith, and what strength do we need to live in closer union with our Lord? Review for Religious hopes to focus some light where it will be helpful by highlighting an article in each issue of this new volume. Our present issue is privileged to publish "The Religious Life Futures Project: Executive Summary." David J. Nygren CM and Miriam D. Ukeritis csJ have worked some three years on a major study of religious life and its future in the United States. By means of this arti-cle, they present in a concise and understandable form the conceptual background, methodological considera-tions, research findings, and major implications of their three-year study. Because this article attempts to provide easy entrance to the complete study shortly to be pub-lished in book form, it also gives our readers a ready ref-erence for use with future articles that will either critique assumptions and method or suggest further developments implied in this study. The importance of the study lies especially in the breadth and thoroughness of its col|ection of data, rep-resented in it~ six independent elements: a national survey, leadership studies, a study of caring people and one of visioning groups, individual interviews, and a final theo-logical/ historical monograph. There is no doubt about its timeliness gince the church is now looking forward to the Review for Religious ninth assembly (in 1994) of a worldwide synod of bishops. The theme of the synod is "The consecrated life and its role in the church and in the world." Since bishops, priests, lay people, and religious need to be involved in the preparation and the followup of this and every church synod, Review for Religious hopes to be a channel of grace by bringing to its readers clear informative articles as well as inspiring motivational ones for the ever richer living out of the spiritual heritages found in particular religious families such as the Benedictine or the Franciscan. It is especially crucial that members of the institutes of con-secrated life become active participants in the presynodal reflec-tion. As for the hierarchy, the apostolic pronuncio reminded the assembled bishops of the United States in November 1992 that every bishop has a special responsibility regarding consecrated religious life. Ultimately all active Catholics need to become involved because the church is as healthy as religious life is healthy. For if the Spirit's charismatic structuring of the church, represented in the ever fecund religious-life form, appears to be weakening or becoming attenuated, then the body of the church in all its members suffers. Such an interrelatedness is reflected in the Pauline principle about the Body of Christ, and church history provides the data of its reality. While special articles will highlight this synod preparation, Review for Religious through its usual wide variety of spiritual topics will continue to bring fresh understandings and applica-tions of spiritual legacies to our Christian life. We hope that our readers will find both light and strength for their spiritual growth in 1993 through the contributions of our many authors. I would like to draw your attention to a new name added to the listing of our Advisory Board members. Joann Wolski Conn, with her doctorate in theology, teaches in the Neumann College Graduate Program in Pastoral CounselinF and Spiritual Direction, a program which assists spiritual.directors to use four great tra-ditions (Franciscan, Ignatian, Carmelite, and Salesian) in their ministry. Her books, Women's Spirituality (1986) and Spirituality and Personal Maturity (1989), have been well received. In this very issue our readers will profit from her "Developmental View of Salesian Spirituality." We look forward t6 her contribution to our board discussions and decisions for the good health and progress of this journal. David LI Fleming SJ 37anuary-February 1993 5 DAVID J. NYGREN and MIRIAM D. UKERITIS The Religious Life Futures Project: Executive Summary feature In this Executive Summary we attempt to provide in as concise and understandable a form as possible the conceptual back-ground, methodological considerations, research findings, and major implications of the Religious Life Futures Project. VVe also recognize the range of interests and various needs of the many persons like yourself who bare expressed great interest in reading the results. With that in mind, the following description of the con-tents of the various sections may assist you in selecting the point at which you would prefer to begin your reading. Section I presents the purpose of this research project. Section H provides the theoretical perspective. This includes some background information on the concept of trans-formation as used in studying groups and organizations. It also David J. Nygren CM, an organizational psychologist, and Miriam D. Ukeritis csJ, a clinical psychologist, began work on this three-year study at Boston University in 1989 and completed it at De Paul University in Chicago in 1992. Nygren is now director of the Center for Applied Social Research and assistant professor of organizational psychology at De Paul University. Ukeritis is director of the Institute for Leadership of Religious Organizations at De Paul and a research associate in its Center for Applied Social Research. They may be addressed at De Paul University; Center for Applied Social Research; 2219 North Kenmore Avenue; Chicago, Illinois 60614. NOTE. This study in modified form was originally pub-lished in Origins 22, no. 15 (24 September 1992). 6 Review for Religious provides some information on the levels of change (social institution, congregational, and individual) considered in this project. Section III provides a description of each of the six research units and of the methodology for each of them and then offers summary find-ings. Results are presented in terms of the analysis described above. Section IV, "Conclusions: Shaping the Future, "presents the summary conclusions of the entire project. If you are interested in "bot-tom lines, "you may want to start your reading with this section. Some may wonder why we did not present this chapter first. When, in shar-ing our results with some groups, we began by presenting a summary of our findings, we were repeatedly asked, "Where/bow did you reach these conclusions?" Hence, in this executive summary, we begin at the begin-ning and work through to the conclusions. Subsequent publications of the results of this study will refer to these findings as The Future of Religious Orders in the United States (FO~U3). Table of Contents I. Introduction and Purpose .8. II. Theoretical Perspective . 9 A. The Concept of Transformation . 9 B. Levels of Change . 12 III. Research Units . 16 A. National Survey . 17 B. Leadership . 30 C. Visioning Groups . 35 D. Caring People . 38 E. Individual Interviews. . 40 E Theological/Historical Monograph .42 Conclusions: Shaping the Future .42 Acknowledgments . 51 References . 51 Bibliographical Notes . 52 January-February 1993 7 Nygren and Ukeritis ¯ Religious Life Futures Project I. Introduction and Purpose The 30 years since the Second Vatican Council have been turbu-lent ones for Roman Catholic religious orders in the United States. The average age of the members of many congregations has increased to 67 years, while the number of religious has decreased approximately 45% for brothers and sisters and 27% for religious priests. Sevei'al "traditional" works, have been called into question while other works and other definitions of mission have arisen. The understanding of ways of living the vows ha~ changed substantially within many congregations. The distinction between religious life and the "laity" has also decreased considerably, with many "lay people" now developing some type of formal associa-tion with religious congregations and many religious identifying more clearly with lay people. How can such phenomena, which apply in many congrega-tions and across the traditional distinctioris of religious life (con-templative, monastic, mendicant, and apostolic), be best understood? How do individual religious and congregations expe-rience and understand the changes that have taken place in reli-gious life? What do these changes portend for the future of religious life? And, most important, what changes must yet occur if religious life is to remain a vital gift to the church into the next millennium? These were the questions with which we began the Religious Life Futures Project in 1989. Our own congregations, the Vincentian Fathers and Brothers and the Sisters of St. Joseph of Carondelet, are but two of the hundreds of congregations that were seeking to transform their lives, ministries, and institutions. With the support of our respective congregations and with a gen-erous grant from Lilly Endowment, we designed a comprehensive study of religious orders in the United States. Basic Purpose of the Research Our purpose was to examine the changes that are occurring in the experience and the understanding of religious life. To accom-plish this end we embarked upon a project that would have as its outcomes: 1. identification of the norm~ative beliefs about religious life and how they will likely shape the future of religious life in this country. 2. building a national data base of all male and female religious 8 Review for Religious that includes current demographic data, membership informa-tion, existing and emerging structures, current member atti-tudes on multiple dimensions, and projections for the future. enabling the leadership of religious orders to identify the current paradigms of effective management of transformation, consol-idation, merging, or extinction. labeling the changes that must yet occur if religious life is to remain a vital social and theological gift to the church into the next millennium. In this summary we hope to indicate how the lives of 121,000 religious are reflected in the opinions of the more than 10,000 religious priests, sisters, and brothers who took time to share their ideas and beliefs with us through personal interviews, ques-tionnaires, workshops, and written communications. We worked from several assumptions: that only religious can describe their experience of faith as religious; that the sociological data we gath-ered would serve them in their own self-direction; that without significant change religious life in the United States will continue to decline an, d, more important, that those who most need the help of religious will not be cared for; and that the generosity and self-sacrifice still present in the lives of religious must be articulated for others if they are to consider following Jesus in this manner. The study sought the broadest possible input from leader-ship, membership, and those with unique perspectives to offer. These latter were persons identified by their peers as possessing vision about the future of religious life and/or possessing notable caring attributes. This summary combines all the results and shows what, after all these scientific undertakings, we believe will make a difference to individual religious, to the various congre-gations, and to their ministry. II. Theoretical Perspective A. Transformation "Transformation" is perhaps most familiar to Christians in Paul's call to "be transformed into Christ," but the dramatic change undergone by religious orders and organizations has expanded the meaning to include organizational considerations. In the organizational realm it refers to qualitative, discontinuous shifts in members' shared understandings of the organization, accompanied by changes in the organization's mission, strategy, January-February 1993 9 Nygren and Ukeritis ¯ Religious Life Futures Project and formal and informal structures. In contrast to simple and gradual changes, organizations undergoing tranoCormation come to understand themselves and their: .missioh very differently from their original understanding. Studies of transformation focus on one or another level at which .the change occurs: either the industry or the social insti-tution considered as a whole, or a particular organization, or a part of one (individual persons). In contrast, we investigated issues related to change in religious life on all three levels: Religious life as a whole (the social institution). This inves-tigation revealed that, while congregations may differ in their expression of religious life by virtue of gender or tradition (apostolic, monastic, mendicant, or contem-plative), all groups share broad-based beliefs, attitudes, and behaviors. ¯ The particular congregation (organization), namely, the 816 groups that participated in the survey. This survey investigated the shifting ways in which the groups expe-riencing transformation interpret a shared past, select value priorities, allocate resources, and assess mission opportunities. It also investigated the shifting metaphors and rituals which members use to express their beliefs and which draw them together with a shared sense of belonging. ¯ The individual (126,000 sisters, brothers, and priests). The study investigated the implications of transforma-tion for the individual members of religious congrega-tions. These three approaches enable a more complete understand-ing of how intercongregational, congregational, and individual experiences can affect each other and of how the various types of change can occur. A Model for the Process of Transformational Change Transformation usually begins with a crisis, an awareness that the understandings currently shared by the organization's mem-bers are no longer adequate. Several types of crisis may occur: performance may be poor, leadership transitions occur, some pow-erful subgroups' interests may no longer be served, management practices may no longer be successful, or, most typically, a major environmental shift may.confront the already existing interpretive schemes. The easiest response for the organization to take is to defend itself against the challenge and perhaps not to respond at 10 Review for Religious all. For transformation to begin, the experience of crisis must "unfreeze" the members' present understandings of the organi-zation by presenting a strong enough challenge to their validity. After unfreezing takes place or in conjunction with it, various individuals and groups begin developing alternative understand-ings. These lead to new types of action and most likely to changes in the structures of the organization. Moreover, the new types of actions that take place are likely to occur out-side the organization's traditional boundaries (for example, AT&T's work moved beyond telephones to include computers and other forms of communication as well); bound-aries are likely to break down. There is likely to be considerable conflict among the original and the developing interpretive schemes and the. subgroups espousing them. Groups that hold one particular new perspective, for example, are likely to find themselves in conflict with indi-viduals or groups that espouse the original perspective or a different new one. The conflict may take various forms: one perspective may clearly dominate various other perspectives and may stand aloof from them, or leaders may acknowledge the potential value of, and .thus encourage, interac-tion between several different perspectives. Leaders can have a strong impact on the outcome of the con-flict between perspectives. If they support only one perspective, they are likely to decrease the creativity of the transformational process and the active involvement of members whose perspectives are not taken into account. If they "separate out" the different perspectives, they are likely to perpetuate splits between the groups. If they enable conflicting perspectives to interact with each other, they will increase the chances of paradoxical trans-formations, of new and creative shared understandings that emerge from the interaction of the competing perspectives. The process of transformation is not affect-free. Rather, it is often paralyzing and disorienting and is experienced as a sequence In contrast to simple and gradual changes, organizations undergoing transformation come to understand themselves and their mission very differently from their original understanding. ~anuary-February 1993 11 Nygren and Ukeritis ¯ Religious Life Futures Project of deaths and rebirths. Initially, various members' primary feelings are likely to include shock, defensiveness, loss, and anger. Throughout the development of new interpretive schemes, mem-bers will experience both ambiguity and confusion, not only when it is unclear that any satisfactory new understanding is develop-ing, but also when there are multiple potential perspectives. The conflict among subgroups will create additional tension. If and when a new synthesis is reached that people experience as acceptable, there is likely to be a sense of rightness and satisfac-tion, at least among members whose perspectives have been incor-porated. Summary Application of the Conceptual Model In this study we assume that religious life, congregations, and religious priests, brothers, and sisters are in the midst of a trans-formational process and that the new understandings of religious life held by significant numbers of members have not yet been fully developed. We also assume that the environmental change that most stimulated the transformation process was the new understandings of the church proclaimed during Vatican II and incorporated shortly afterward in documents directing religious congregations to begin the analysis and revision of their basic principles and practices. Presently, diverse, sometimes contradictory understandings of religious life have been developed among groups of religious. In addition, environmental forces that strongly support the devel-opment of particular understandings are present (for example, among the hierarchy and in various segments of the laity). How can the process to this point be best understood? What will hap-pen next in the transformational process? To what extent can leaders influence the transformation process? B. Levels of Change Change at the Level of the Social Institution The changes that have taken place generally in religious life have, of course, occurred in many different congregations. Schneiders's (1986) work describes a shared shift across many congregations--in the understanding of many of the components of religious life such as the vows and community. In addition, books suggesting that religious are meant to be "prophetic" or 12 Review for Religious "countercultural:' (for example, Woodward, 1987; Foley, 1988) are written to religi6us as a group, not to particular congrega-tions. Thus, the first level this study will consider is religious life as a shared entity across congregations. Shifts in understanding are frequently intertwined with shifts in structures, both formal and informal, and these structural shifts include not only new types of relationships and divisions among subgroups, but also the breakdown of formerly established orga-nizational boundaries. At the level of the universal church, Molinari and Gumpel (1987, p. 19) ask, "Is the consecrated way of life a structure in the church or a structure of the church?" The latter phrase implies only one structure of divine origin, namely the hierarchical one, while the former implies multiple divinely willed structures in the church. At the core of the dis-tinction is the degree to which the hierarchic structure governs the pneumatic components, the charismatic dimensions, of the church. Depending on the response to the question of one structure ¯ or many, structural diversity and change will occur in very dif-ferent ways. Many religious believe that their traditions repre-sent the pneumatic or charismatic dimension of the church that was evident in their founders and foundresses, and that these tra-ditions are better structured and controlled without the influence of the hierarchic structure. Areas for Investigation. In addition to the changes occurring within religious life in relation to the church, intercongregational structures have also been developing. We examined in a limited way intercongregatiofial changes such as mergers that are associ-ated with shifts in understanding or direction. What in particu-lar has happened to the boundaries separating religious from the diocesan clergy and from the laity? Change at the Level of lndividual Congregations Mthough some changes in understanding have been occur-ring across congregations in religious life as a "social institution," others have been occurring differently within different congre-gations. Moreover, many of the changes that have occurred across the board have been experienced by members of individual con-gregations as occurring within their own congregation more than in religious life as a whole. Thus, this study was concerned not only with changes in religious life generally, but also with changes occurring within specific congregations. .~anuary-Febrtmry 1993 13 Nygren and Ukeritis ¯ Religious Life Futures Project For example, Bartunek (1984) described how the under-standing of the educational mission in one women's congregation shifted from the mid 1960s to the late 1970s. At the beginning of the change process, education was viewed as synonymous with activities that took place in schools the congregation adminis-tered. By the late 1970s, however, the educational mission was seen primarily as "seeking justice with the heart of an educator," which might or might not take place in formal educational set-tings, let alone schools the congregation administered. Beres and Musser (1987) have described how during that same period another congregation broadened its mission from particular areas of service to a general philosophy of service, with priorities shift-ing from the works of the congregation to the works of the con-gregation's individual members. Within religious congregations Nygren (1988) found that both male and female religious are adapting their structures and categories of membership to their emerging self-understanding. In a survey of 740 leaders of religious congregations, he found that 70% of the female leaders indicate that they are adapting their membership to include the full or partial membership of lay people. Among female congregations 18% of the total sur-veyed expect to amalgamate with another congregation, province, or monastery to adapt to internal changes. Correspondingly, 25 % of the male leaders anticipate altering membership categories, and 12% of them expect to amalgamate with another entity to adapt to change. These anticipated or accomplished changes affect both the existing members and the organization's self-definition. In one congregation studied by Bartunek (1984), members' shifts in understanding were intertwined with the development of several cross-province groups and commissions. They were also intertwined with the breakdown of formerly established exter-nal boundaries. Many congregational members started working with groups that had been clearly outside the original boundaries of the congregation. These structural changes eventually resulted in a merger of the U.S. provinces of the congregation. Areas for Investigation. How broadly applicable are the types of changes described above? What types of structural changes are occurring? What effects.do these changes have on the develop-ment of new understandings? Next, what are the processes through which new under-standings have be~n occurring? The model articulated above sug- 14 Review for Religious gests that change typically includes an initial experience of crisis, accompanied by strong feelings such as sadness, anger, and defen-siveness and followed by the development of differing under-standings on the part of various organizational subgroups. Feeli.ngs and reactions also accompany this stage: ambiguity and confu-sion about the possible understandings as well as conflict between groups. The introduction of the new Council of Major Superiors of Women Religious, for instance, introduces legitimacy to a divergent opinion among religious leadership. When a new syn-thesis is reached, a sense of rightness occurs. If it fails to occur, more destructive dynamics may characterize the group's func-tioning. In addition, from which elements of the environment do members of a particular congregation receive messages or con-straints regarding appropriate (or publicly appropriate) self-under-standing? In particular, how do the hierarchical church and the laity have an impact? How do intercongregational groups and networks affect the development of understandings within the congregations that belong to these groups? Next, how has leadership been affecting the experienced changes in religious life? The role of leadership has been ana-lyzed !n detail for an understanding of how leaders contribute to the development or decline of organizations. Change at the Level of Individual Members of Congregations It is clear ~hat changes have not left individual members untouched. For example, Ebaugh (1977) showed that the changes had strong effects on why members of women's religious con-gregations left the congregation. Others have indicated that one of the typical effects of a transformational process is an increase in the stress level of individual members. This is due to the ambi-guity that accompanies the change and to conflict between sub-groups. There should be more to the experience of individual reli-gious, however, than difficult feelings. Bartunek and Ringuest (1987) found that members of a particular congregation whose work took them across the congregation's original boundaries during the early 1970s, and who remained in their congregation, eventually came to perceive themselves as more influential in the congregation than did members who continued to carry out tra-ditional works. January-February 1993 15 Nygren and Ukeritis ¯ Religious Life Futures Project Thus, we are concerned not only with the change taking place on the congregational and intercongregational level, but also with the way various members of religious orders and particular sub-groups are experiencing the change. In addition, the differences between the experience of men and women religious may be rel-evant. We address two questions regarding this experience. Areas for Investigation. What has the experience of change been like for individual members of congregations? The model we have presented proposes that individual members of congrega-tions should experience a wide range of feelings during the change process. The departure of such a large percentage of religious has also had an impact on those who remain. Those who con-tinue to live the vocation to religious life surely have a unique perspective on their role and are rooted in a spirituality that sus-tains them. With this frame of transformation, then, we designed a .comprehensive assessment that could give us some measure of how change is occurring and affecting religious life at the level of the social institution, congregations, and individuals. III. Research Units The design of the Religious Life Futures Project contained six independent studies. They are described below. Figure 1 depicts the six research units, and a brief description of each unit follows. Figure 1 Religious Life Futures Project Research Units Hist/Theol Monograph Leadership S~udies Interview Survey Caring People Study Visioning Groups 16 Review for Religious The National Survey was a comprehensive questionnaire asking 9,999 religious sisters, brothers, and priests to express their beliefs and opinions about spirituality, motivation, services they provide, issues they consider to be negative or positive influences on the future of religious life, and various other matters of religious life in general and their orders in particular. The Leadership Studies were based on the recognition that leadership is a key factor in sustaining the life of any group. Investigations of leaders' views, of members' perceptions of their leaders, and of the competencies required ~or"~utstanding leadership were pursued in this research unit. The Caring People and Visioning Groups units of our project were constructed on the reason-able assumption that these subgroups could offer distinct perspectives. The caring people were identified by virtue of their exemplary car-ing for others, and participants, in the visioning-groups unit con-sisted of people nominated in virtue of their hopeful, positive, and compelling vision concerning the future of religious life. Individual Interviews, using a standard protocol, were pursued with persons identified as particularly knowledgeable about reli-gious life. These interviews probed for the interviewees' under-standings of the nature and purpose of religious life, of the challenges facing women and men religious at this time, and of the qualities required for leadership in the future. The Theological/Historical Monograph was commissioned to be written by Elizabeth Johnson CSJ, PhD, with a historical postscript by John W. Padberg SJ, PhD. Their material wi!l add perspective to the wealth of information collected, analyzed, and evaluated. The Religious Life Futures Project contained six independent studies. A. The National Survey Purpose and Method The purpose of the National Survey was to obtain informa-tion about members' attitudes and practices regarding religious life. Questions ranged from general demographics to patterns and attitudes about living arrangements and job satisfaction. The sur-vey also sought information regarding attitudes toward vows, var-ious aspects of religious life, spiritual growth, and future plans. .~anuary-Felrruary 1993 17 Nyffren and Ukeritis ¯ Religious Life Futures Project Early in 1990 each major superior in the United States was contacted by letter with a request for a list of the names and addresses of their members. From the more than 121,000 names received, a stratified random-sample design selected the partici-pants for the survey. This random sample was stratified to ensure statistically valid comparisons according to tradition (apostolic, contemplative, mendicant, monastic) and vocation (sisters, broth-ers, religious priests). The 335-item questionnaire was mailed in October 1990 to the 9,999 religious priests, brothers, and sisters selected in this manner. With postcard and phone follow-ups, an overall response of 77.4% (7,736 responses) was obtained. The data base used for reporting results consists of 6,359 usable surveys. In the data anal-ysis, the responses were weighted to reflect population proportions of sisters, brothers, and religious priests and of apostolic, mendi-cant, monastic, and contemplative groups. All data were analyzed according to age groups that would reflect developmental stages (ages 19-45, 46-60, 61-73, 74-96). Data Analysis and Results The questions throughout the survey represented a broad range of topic categories. Initial principal-components factor anal-yses were conducted on a select number of the items in the sur-vey. Separate factor analyses were conducted for vocation (sister, brother, priest), tradition (apostolic, mendicant, contemplative, and monastic), and age group (19-45, 46-60, 61-73, and 74-96). The results of these analyses, presented in terms of level of analysis and grouped in meaningful clusters, appear in Table 1. As indicated, four major clusters of factors emerged on the level of the Social Institution: structures, innovations, restraints, and cred-ibility. The clusters of factors are listed on the chart and will be defined and discussed below; summary findings, too, will be pre-sented on the following pages. Social Institution: Structures The National Survey factors related to Structures include role clarity, permanent commitment, external authority, systemic change, and hierarchical alliance. Because of the significance of role-clarity findings in this study, we present an extended discus-sion of this issue and then a summary of the other factors. 18 Review for Religious Categorization of Factors Derived from the Religious Life Futures Project Table 1 Social Institution Congregation Individual STRUCTURES Role Clarity Permanent Commitment External Authority Systemic Change Hierarchical Alliance INNOVATIONS Diversity Expanding Lay Roles Greater Inclusion RESTRAINTS Cultural Threats CREDIBILITY Commitment to the Poor Anomie LEADERSHIP ' Spiritual Intensity Charisma/Individual Consideration Intellectual Stimulation/ Inspirational Laissez-Faire Active Management by Exception Contingent Reward DYNAMICS Community Living Involvement Influence Ongoing Development GUIDANCE Procedural Clarity Effects of Renewal Support of Sponsored Institutions SPIRITUALITY Oneness with God Intensified Spirituality Structured Prayer BELONGING Congregational Commitment Affiliation Intention to Remain ACTION Faithfulness to Vows Works of Mercy Role Clarity. Role clarity for religious is defined as "the indi-vidual's perceived level of understanding regarding his or her pur-pose and function within the current structure of the church." On this measure 55% of the sisters reported high role clarity, along with 65% of the brothers and 68% of the priests. More than 30% of the women reported low role clarity, indicating a lack of understanding or clarity regarding their role in the church today. The discussion of leadership issues related to the National Survey may be found in the section which fbcuses exclusively on this topic. ffanuary-Felr~utry 1993 19 Nygren and Ukeritis ¯ Religious Life Futures Projea Considering the data by tradition, we find 77% of the con-templatives and 64% of the monastics reporting high role clarity while only 59% of the apostolic and mendicant religious indi-cated they have a clear understanding of their role. Role clarity may be proportionately greater in the future, for, while only 52% of the youngest members reported high role clarity, 71% of the oldest did so. This finding parallels research that finds in many professions greater role clarity among those who have been in the profession for a longer time. Interestingly, the more highly educated members of religious congregations experience lower role clarity as religious. In terms of the fields of study, religious in the more applied disciplines such as business, education, and health care were less clear about their role as religious in the church than religious whose training is in the more theoretical disciplines such as theology, the human-ities, and the social sciences. The role demands of health-care providers or educators may present pressures that replace or com-pete with, rather than complement, the current role of religious in the church. Other research has demonstrated that ambiguity regarding role can, in general, lead to anxiety, reduced ability to meet role requirements, decreased ministerial satisfaction, lower trust and self-confidence, increased sense of futility, and greater propen-sity to leave a religious order. The lack of role clarity that a high percentage of religious experience may contribute to still more decline in the numbers of religious. There may also be some con-nection between the equal number of women and men entering religious life now (in contrast to women's former, three-times-greater number) and the greater number of women now experi-encing low role clarity. Taken together, this data signals the essential need for role clarity if religious orders in the United States are to be revitalized. Permanent Commitment. In responding to questions related to the normativeness of a lifelong commitment for religious life, all groups (considered by vocation, by tradition, and by age) reg-istered barely moderate agreement. On a scale wher~ 1 repre-sents "strongly disagree," 3 represents "neither agree nor disagree," and 5 represents "strongly agree," the group means ran between 3.1 and 3.5 on the matter of their agreeme.nt that permanent commitment is the norm. External Authority. All respondents tended to disagree that 20 Review for Religious reliance on external authority would influence the future of reli-gious life favorably. There was a general rejection of seeking input regarding thought, opinion, or behavior from outside sources such as church or group authority, indicated by the fact that, on the five-point scale described above, means for all groups were between 2.5 and 3.1. Systemic Change. Sisters, brothers, and religious priests experienced little connection between their work for sys-temic change (defined as "efforts to influence the social and political struc-tures which tend to discriminate against disadvantaged persons") and their per-sonal and spiritual fulfilhnent. All means were greater than 3.0 and less than 3.4. This did not change when considered by age groups or tradition. Hierarchical Alliance. The cluster of items that reflect a positive relationship between the hierarchy and religious or a positive attitude regarding the church's hierarchy and magiste-rial authority was not typically rated highly by religious. The more highly educated members of religious congregations experience lower role clarity as religious. Social Institution: Innovations The National Survey included items measuring participants' responses to trends in religious life that introduce greater diver-sity into community living. Items inquired about the conscious inclusion of persons who have declared their homosexual orien-tation, about the comfort level of minority-group members as perceived by members-at-large, and about the impact of includ-ing lay associate members. Admitting Homosexual Persons. Survey participants were asked to respond to this statement: "Declaring a homosexual orientation would not exclude an individual from being admitted to my con-gregation." Sixty-four percent (64%) of all respondents indicated either agreement with the statement or uncertainty. Thirty-six percent (36%) disagreed. Considering the data by vocation, only 16% of sisters agreed with the statement, and nearly 50% expressed uncertainty. This was significantly different from the responses of religious priests and brothers. Agreement of religious priests registered at 43 %, January-February 1993 21 Nygren and Ukeritis ¯ Religious Life Futures Project with 22% uncertain. Thirty-five percent (35%) of the brothers agreed, with 25% uncertain. Among the four traditions, 53% of contemplatives indicated disagreement, im:plying the least expectation that persons declar-ing a homosexual orientation would be admitted to their con-gregations. "Agree," "uncertain," and "disagree" percentages were rather evenly split among the other traditions. Among monastics the greatest percentage (39%) agreed. Thirty-eight percent (38%) of the members of apostolic groups (again the greatest percentage) indicated uncertainty regarding admission of candidates with a known homosexual orientation. Considering the data by age, 45% of the members under 45 expressed their belief that a person with a homosexual orientation would be admitted to their congregation. Forty-three percent (43 %) of the oldest age group felt that homosexual persons would not be admitted, and 46% of the same age group expressed their uncertainty. Members of Minority Groups. When asked to respond to this statement, "Members of minority groups may feel uneasy in my congregation," the sentiment among religious in general is fairly well split: 36% agree; 22% are uncertain, and 42% disagree. This response pattern reflected the response pattern of the sisters, the brothers, and the religious priests considered separately and also of the apostolic, the mendicant, and the monastic religious con-sidered separately. But 52 % of contemplatives disagreed with the statement, while 27% agreed. Analysis by age reveals the greatest differences. Fifty-two per-cent (52 %) of the youngest group and 44% of the next age group (46-60 years) indicated their belief that members of minority groups would feel uneasy. In contrast, half of the 61-to-73 age group and 53% of the oldest group did not believe minority-group members would feel uneasy in their orders. At present, less than 10% of the members of religious orders in the United States are members of minority groups even though, in the near future, 50% of the U.S. Catholic population will be Hispanic. The real-ity of multiculturalism must be addressed by religious orders. Lay Associates. In response to this statement, "Inclusion of lay associates as members of my congregation may undermine what it means to be a member of my congregation," only 16% of the respondents agreed; 65% clearly disagreed. Lay associates, includ-ing members of the opposite sex and married couples, appear to 22 Review for Religious have widespread acceptance among religious. In general, religious reported little concern about having lay associates as members of their congregation and about the effect their presence may have on the meaning of membership in it. Other Factors. When asked to rate the impact that expanded lay roles in church ministry, feminist thought, the ordination of women, and the inclusion of married persons would have on reli-gious communities, respondents of all groups consistently indi-cated their belief that these situations and possibilities would have little effect if any. Social Institution: Restraints Respondents were invited to rate (on a five-point Likert scale where 1 represents "not at all" and 5 represents "extremely") aspects of contemporary American culture such as capitalism, technology, and affluence in terms of their potential threat to the future of religious life. Data analysis by age and tradition shows that religious view them as minimal threats. Considering the data by vocation, sisters indicated a greater (but not high) concern regarding the impact of cultural realities than did brothers and religious priests. Social Institution: Credibility The "credibility" cluster consisted in working with the poor and anomie. Commitment to the Poor. To measure a member's stated com-mitment to work personally with the poor, survey participants were asked to respond to this statement: "Although there is in.creasing talk about working with the poor, I feel little commit-ment to that." Mean scores for all vocations, traditions, and age groups did not exceed 3.5. (Sisters, members of apostolic groups, and religious in the 19-45 age group yielded the highest means in their groupings.) Thus, members of congregations express little commitment to participate in an activity which has increasingly become a value espoused by many congregations and, quite explic-itly, by the church. These findings suggest that the greatest commitment to work with the poor would be found in a young sister in an apostolic congregation. This group currently shows the least tendency to increase in size. Anomie, defined as a state in which normative standards of January-Felrruary 1993 23 Nygren and Ukeritis ¯ Reli~ous Life Futures Project conduct and belief are weak or lacking, is characterized by dis-orientation, anxiety, and isolation. Loss of conviction about the vows, lack of clarity about the role of religious, reactance to authority, lack of a corporate mission and ministry, and disillu-sionment with leadership pose significant threats to the future of religious life. The mean scores for all groups were greater than 3.5. These concerns increased with age. Congregational Level." Leadership The National Survey used specifically designed items related to qualities of spiritual leadership along with Bass's leadership scale to assess members' perceptions of their leaders. So that all leadership studies may be reported together, these findings are incorporated into Section III B, Leadership. Congregational Level." Dynamics The National Survey .also measured several factors affecting community living, including involvement, influence, and satis-faction with opportunities for ongoing development. Involvement and Influence. Involvement is defined as "the expe-rience of having, and the desire to be engaged in, activities related to the life of one's congregation"; influence, as "the experience of having and the desire to have some impact regarding the deci-sions and future of one's congregation." On a scale where 1 rep-resents "strongly disagree" and 5 represents "strongly agree," agreement regarding involvement in congregational activities was high (ranging from 3.9 to 4.0.), with nearly the same means across the three vocations (sister, brother, religious priest). Levels of perceived influence wei-e significantly lower, with means ranging from 3.2 to 3.0. Vv-hen the factors of involvement and influence were considered by tradition, the range was the same. Considering the data by age, interesting patterns surfaced. The youngest group had the lowest mean for influence and the highest mean for involvement. The 74-96 age group, in contrast to the 19-45 group, had the highest mean for influence and the lowest for involvement. A consistent pattern did emerge: The members' perceived or desired level of influence in their congregation is consistently lower than their experience or desire of involvement in it. This raises serious questions that touch on group-commitment and ownership issues. 24 Review for Religious Ongoing Development. Respondents' satisfaction with oppor-tunities for ongoing development through education and forma-tion, rated on a scale of 1 ("very dissatisfied") to 5 ("very satisfied"), averaged about 4.0. In general, the high levels of sat-isfaction and the high expectations that possibly accompany that satisfaction may encounter significant frustrations or difficult choices when, as is likely in most congregations, they encounter decliriing revenue and personnel. Congregational Level: Guidance The National Survey also investigated the degree to which a congregation's policies and structures promote the effective func-tioning of the group. Procedural clarity, effects of the renewal process, and members' willingness to support sponsored institu-tions are the focal points for addressing this question. Procedural Clarity. Analyzed by vocation, tradition, and age, religious indicated a moderate level of satisfaction with the clar-ity of their congregation's policies, and procedures. The group means ranged from 3.5 to 3.9. With the scale ranging from 1 ("strongly disagree") to 5 ("strongly agree"), it is fair to say that members do not experience an.overwhelming sense of clarity con-cerning their congregation's policies and procedures. Effects of Renewal, Thirty years ago the Second Vatican Council directed religious orders to examine their structures and update themselves. A return to the spirit of the founder was identified as a critical part of this renewal process. Members' assessments of their congregation's efforts and success in remaining faithful to the founding charism or in maintaining the prophetic character of religious life reflect once again only a moderate level of agree-ment. Across age groups the highest rating (the mean was 3.8) reflected the assessment of the 61-to-73-year-olds. Significantly, this was the group that provided most of the leadership during the past 30 years. The youngest group expressed the lowest satisfac-tion. There were no differences between the various traditions in their ratings of the effectiveness of renewal efforts. Support of Sponsored Institutions. In an effort to assess the com-mitment of members to their congregation's institutional com-mitments, respondents were asked to indicate their willingness to work in an institution sponsored by their congregation and their willingness to live in such an institution. Overall, 93% of the religious responding to the survey January-February 1993 25 Nygren and Ukeritis ¯ Religious Life Futures Project answered yes regarding their willingness to work there. This rep-resents 94% of the religious priests and brothers and 92% of the sisters who responded. A smaller but still sizable percentage (88%) indicated their willingness to live at an institution sponsored by the congregation; this figure represents 84% of the sisters, 91% of the brothers, and 92% of the priests. ~'hese results present the opportunity to leaders, congrega-tional planners, and institutional decision makers to consider the availability and willingness of members of religious organizations and to direct their efforts toward a corporate mission. The empha-si~ on individual ministries that has evolved in recent years may now be shifting or open to reconsideration by members. Individual Level: Spirituality Spirituality was considered in terms of the experience of a sense of oneness or harmony with God, the degree of increased spiritual intensity, and the value of structured prayer to personal and spiritual fulfillment. Oneness with God. M1 religious report a moderately high level of agreement on a five-point Likert-type scale (1 represents "not at all" and 5 represents "frequently if not always") to questions assessing a sense of oneness with God. Sisters and contempla-tives score highest. Not surprisingly, this sense appears to deepen with age insofar as mean scores for age groups increased as age increased. Intensified Spirituality. The survey also measured changes in spirituality in terms of the degree to which respondents reported finding greater value in religious life and having deeper belief in Jesus Christ and deeper appreciation of the value of prayer since the time of their first profession of vows. While sisters, contemplatives, and members of the 74-96 age group reported the greatest levels of intensified spirituality, the other groups reflected high levels. StTv~ctnred Prayer. The degree to which structured prayer ex~)e-riences such as common prayer, an annual retreat, confession, and devotion to Mary were reported to be a source of spiritual and personal fulfillment was also measured on a five-point scale. Considered by vocation (si~ters, brothers, priests), all resporidents registered agreement beyond a level of 4. I. Consistent with their tradition, contemplatives had the highest mean of the tradition groupings in reporting structured prayer to be a very valuable 26 Review for Religious contributor. The experience of structured prayer as spiritually and personally fulfilling increased with age. Individual Level'. Belonging The National Survey measured individuals' commitment to their congregation as well as affiliation and the intention to remain. Commitment to Congregation. All traditions, vocations, and age groups reported moderately high to very high levels of congre-gational commitment. Not surpris-ingly, levels of agreement steadily increased with the respondents' ages. Affiliation. As was the case for commitment to the congregation, all groups (vocation, tradition, and age) were strong in their agreement with items indicative of high affiliation. Sisters, contemplatives, and members of the oldest age group had the high-est means in their respective cate-gories. Intention to Remain. Members of all groups (considered by age, voca-tion, and tradition) expressed--at or beyond the 4.2 level on the five-point "strongly disagree/strongly agree" scale--agreement with items related to their intention to remain in their congregation. This high degree of durability may be viewed both as cause for celebration and as cause for concern. Religious women report chastity as most meaningful and least difficult, while men report chastity as most difficult and least meaningful. Individual Levek Actions The National Survey also measured respondents' manifesta-tion of belief through their fidelity to vows and works of mercy. Faithfulness to Vows. Self-ratings regarding faithfulness to their vows of poverty, chastity, and obedience, when analyzed by voca-tion, tradition, and age, ranged between 3.7 and 4.1. Because the purpose of this study was not to delve into the details of behav-iors of religious women and men as they relate to observance of their vows, the research asked only for individual self-reports of fidelity to each vow. Of greater concern in this investigation were those individual that were related to persons who do or do not perceive themselves as faithful. January-February 1993 27 Nyg~ren and Ukeritis ¯ Religious Life Futures Project Regarding practice of the vows, the researchers learned that religious women report chastity as most meaningful and least dif-ficult, while men report chastity as most difficult and least mean-ingful. In a ranking of difficulty, obedience emerges as more difficult for women than for men. Works of Mercy. The belief that direct action to help the sick or poor made a somewhat valuable contribution to their spiritual and personal fulfillment was registered most strongly by religious priests and sisters. Considering the data by tradition, members of the mendicant and apostolic groups reported that their practice of the works of mercy was somewhat valuable to their personal and spiritual fulfillment. Monastic religious experienced such works as less valuable, and contemplatives, perhaps as a function of their lifestyle, experienced them as least helpful. Factor Conclusions: Social Institution The social institution of religious life in the United States continues to reflect the dynamics of an organization in signifi-cant transition. The lack of role clarity for a large percentage of religious and the ambivalence regarding permanent commitment to the classic vows leave the social institution vulnerable to innu-merable other social and cultural forces. The results would indi-cate that the population of religious in general is moving toward a much more permeable system of membership, commitment, autonomy, and inclusion. While on the one hand this reinforces innovation that includes diversity and broadened assumptions about religious life, the research also indicates that religious do not see how clearly they are influenced by cultural assimilation. Likewise, the credibility of many religious may be lessened in the eyes of those they serve and in the society in which they func-tion because of the discrepancies between their espoused values and their practice. By their own admission, religious see indif-ference and a lack of passion to be a major threat to themselves as persons and to religious life overall in relation to other social sys-tems in society. Factor Conclusions: Congregation Leadership is a critical force for the clarification of the role identity of religious in the United States. Within congregations, 2 8 Review for Religious particularly among women, there exists a fair degree of satisfac-tion with leadership. The hidden side of the satisfaction is that it may signal complaisance among members who at the same time find it difficult to influence the direction of the congregation. For many, the congregation lacks a coherent approach to col-lective action, particularly regarding sponsored institu-tions. In addition, the efforts at renewal have not met indi-vidual hopes. Community life continues to engage mem-bers, and they feel deeply committed to congregational life, willing to be more involved than they currently are, but also feel less influen-tial with leadership in the matter of setting the direction of the congregation. The high need for affiliation noted in the survey results may, in fact, stifle the creativity necessary to move groups into the future. Leadership is a critical force for the clarification of the role identity of religious in the United States. Factor Conclusions: Individual A facet of the research that addresses optimistically the lack of role clarity for many religious is the data that suggests how important spirituality and a vital relationship with God really are for many of them. Structured prayer, however varied the forms, continues to be a value. Individuals feel genuinely called by God to religious life and see an intensified spirituality as desirable. They are personally committed strongly to the community, they derive satisfaction from belonging, and most intend to remain in religious life. It is fair to say that the data indicates a stronger ecclesiology than Christology. Individuals emphasize participation in the life of the church and community as foundational to their spirituality. Their relationship to the person of Christ is less clearly drawn, perhaps because of the design of the study itself or maybe because of shifting language schemes to describe one's spirituality. What is clear from the research is that their spirituality will define their uniqueness in the church and their belonging will satisfy their affiliative needs. January-February 1993 29 Nygren and Ukeritis ¯ Religious Life Futures Project The data suggests also that, if religious experience difficulty, it has to do with the impact of the vows on their life and with their fidelity to the vows. The personal sacrifice that has been the foundation of the vowed life has found support in the effect it has had on the mission of the congregation and the church. Profound shifts have occurred in the interpretation of the vows and the willingness to live them. More fluid interpretations of poverty, obedience, and chastity are widely observed. In addition, some religious describe new vows--of ecology, for instance--as descriptive of the future. Personal understandings of religious life and the commitment required to live the life are very broad. This results in part from lack of role clarity and from the vast cultural shifts in American society that have had a significant influence on religious life. Most religious would see some return to normative behavior as neces-sary, but they are reluctant to do so if that means returning to the sect-like distinction of religious life of the past. B. Leadership The recognition and identification of leadership as a critical factor in the transformation of religious orders prompted the investigation of leadership from many perspectives. These included: 1. a series of regional gatherings attended by 192 leaders of religious congregations; 2. members'oat-large perceptions of their leaders through the National Survey; 3. a separate "Leadership-Competency Assessment of Leaders of Religious Orders" with personality psycholo-gist David McClelland PhD. One of the first issues to surface during the course of the Religious Life Futures Project was the urgency of selecting and training leaders who not only can manage the complexity of reli-gious life that is predicted to intensify during the next 10 years, but also can focus the attention of their communities on a vision that will unite individual efforts inspired by the mission of their founder or foundress. The most striking weakness among cur-rent leaders is their inability to formulate a strategy to achieve a purpose or mission. Also of concern was the increasingly widespread use of con- 30 Review for Religious sensual processes and team leadership. The findings indicate that, while potentially effective, such approaches can often lead to mediocre management, representing the least common denomi-nator within an organization. Uninformed implementation of consensual methods often paralyzes the visionary leader. Leadership Workshops At the Leadership Workshops the participants were asked to write, in the form of a letter to their members, their vision for the future of their congregation, of the people whom their congre-gation serves, and of religious life in general. A content analysis of these "letters" yielded four categories of leadership: Value-based leaders expressed a sense of direction for their con-gregations or themselves in terms of the conceptual and cultural aspects of religious life. They were able to give expression to their values, but were unable to ide.ntify strategies to actualize them. For example, the author of one letter expressed concern about the environment, but only vaguely proposed that the congregation become involved in recycling. A letter simply urging the eradi-cation of "oppressive structures" without any suggested imple-mentation illustrates another value stated without a strategy. Visionary leaders, on the other hand, expressed a sense of direc-tion in terms of the structural and organizational aspects of reli-gious. life. The articulation of a strategy to accomplish their vision marks the difference between visionary and value-based leaders. One of the letters, besides proposing a new form of community in which nonvowed members would participate in governance, named specific guidelines and thus coupled a vision with a strat-egy. Conflicted leaders were unable to address change and often expressed frustration, anger, sadness, and even despair. These feelings were frequently directed toward members of the con-gregations. One such leader wrote, "It seems to me that some of our religious are unconcerned. They seem to have lost the orig-inal enthusiasm for their religious calling. Life has become drudgery for them, and membership in our congregation is a bur-den. Nothing we do or try to do seems to change this picture, and it is of great concern to me." Incognizant leaders, those who are unconscious or unaware of major issues facing their orders, failed to address any of the con- January-Felrruary 1993 31 Nygren and Ukeritis ¯ Religious Life Futures Project cerns facing their congregations or the church. For example, one leader wrote, "There is no secular history/profane history; there is only sacred history. God is present in everything and in all. God journeys with us, with all people. God is the force, the life, the purpose behind everything and everyone." The researchers note that, while God is ultimately the means and the end of reli-gious life and leadership itself, incognizant leaders do not realize their role in enabling the action of God. From these workshops, the researchers concluded that there is often a gulf between the responsibilities of the office and the abilities some leaders bring to it. In many cases, leaders lack the necessary competencies or training to function effectively. Members' Perceptions of Leadership from the National Survey The National Survey measured members' perceptions of their leaders, using a measure of leaders' spiritual intensity and Bass's transformational and transactional leadership scales. The spiri-tual intensity of their leaders is rated highly by both men and wbmen. Both female and male religious expressed a slighdy higher degree of satisfaction with individual leaders than with leader-ship teams. Women were generally more satisfied with their lead-ership than men were. The survey measured the degree to which members viewed their leaders as transformational and transactional. Transforma-tional leaders provide vision and a sense of mission while instill-ing pride and gaining respect and trust. Transactional leaders focus on administrative and operational details. Typically, trans-actional leaders orient subordinates toward achieving goals by monitoring their performance, rewarding their accomplishments, and taking corrective action when necessary. Sometimes they abdicate responsibilities and avoid decision making. Both women and men tend to consider their leaders to be transformational people who embody charisma and individual consideration as well as intellectual stimulation and inspiration. On a scale where 1 represents "almost never" and 5 represents "frequently if not always," sisters' mean ratings of their leaders on charisma and intellectual stimulation were 3.67 and 3.57, respec-tively. Conversely, male religious consistently rate their leaders higher on transactional qualities, contingent reward (brothers' mean was 1.78; priests' mean was 1.70) and active management by exception (brothers' mean was 2.38; priests' mean was.2.26), than 32 Review.for Religious do female religious (contingent-reward mean was 1.62; manage-ment- by-exception mean was 2.06). The findings showed that, while spiritual intensity was the most frequently observed behavior of all outstanding leaders, charisma or individual consideration of members was the most significant predictor of satisfaction with an individual leader or a leadership team. Leadership Competency Study This research unit assessed systematically the competencies required for outstanding leadership. The model of competency assessment developed by McClelland and associates at McBer & Co. was employed. It began with the convening of a panel of experts to assist in identifying a criterion group of 24 present or former leaders of religious congregations regarded by their peers as "outstanding." Using the "Behavioral Event Interview" (BEI) method also devel-oped by McClelland, the research team interviewed this group of 12 women and 12 men. Similar interviews were conducted with a control group of 15 "typical" leaders (11 women and 4 men) matched with the criterion group for age, gender, tradition, size of congregation, and length of tenure. These interviews were then transcribed and coded by two separate raters for leadership competencies. Analysis of the data revealed that outstanding and typical lead-ers share certain "threshold competencies," including an ability to articulate the mission of their congregations, an inclination to act efficiently, basic conceptual and analytical skills, self-confi-dence, and avoidance of impulsive or emotional expression. These can be regarded as foundational competencies for leaders of reli-gious orders. Outstanding leaders, however, were found to differ from typ-ical leaders in several significant ways. For instance, outstanding leaders expressed, nearly three times as often as did typical lead-ers, a desire to perform tasks well or better than they had been performed in the past. They stated more than twice as often as typical leaders that they wanted to find new ways to achieve goals and to make things better for the people their order serves. Approximately 65% of the outstanding leaders mentioned taking initiative to deal with anticipated problems at least five times. Only 22 % of typical leaders referred that often to taking such actions. January-February 1993 33 Nygren and Ukeritis ¯ Religious Life Futures Project Outstanding male leaders are more likely to start projects dealing with problems anticipated in the coming years than are typical male leaders and female leaders in general. The study also found that outstanding leaders were signifi-cantly more likely than typical leaders to mention using their power to influence group decisions or behavior; to build consen-sus and team spirit by soliciting the views of others; to attempt to see issues from different perspectives; and to draw on divine assis-tance in their leadership roles. Conversely, typical leaders were more inclined than outstand-ing leaders to mention that they had threatened sanctions to control the behavior of subordinates; had acted out of formal authority, not by building consensus; and had involved themselves with the per-sonal problems of individual mem-bers as opposed to the problems of the entire congregation. Typical leaders seldom refer to God in their leadership activity. The study' also found differ-ences between outstanding men and outstanding women leaders. Outstanding men appeared more likely than outstanding wo~nen to have begun new projects; to have acted assertively; to have offered more opinion, s, particularly negative ones, to subordi-nates; to have developed the leadership capacity of others; and to have experienced the benefit of God's support. The outstanding women, on the other hand, appeared more likely to have focused on consensus building; to have pointed to the spiritual significance of events; and to have positive expecta-tions of others and of religious life in general. The leadership-competency assessment revealed that out-standing male leaders are more likely to start projects dealing with problems anticipated in the coming years than are typical male leaders and female leaders in general. Neither ?utstanding nor typical female leaders appear to initiate such projects. While all male leaders report more behavior that threatens members with termination of an assignment or with dismissal from a con-gregation than do female leaders, this is strikingly true of typical male leaders. Outstanding female leaders behave in this manner more frequently than their typical counterparts. This suggests the desirability of a moderate use of sanctions. 34 Review for Religious C. Visioning Groups Recognizing that various groups of members could offer distinct perspectives, the study was to include the views of persons who could provide specifically clear opinions regarding the future of religious orders. Individuals identified as future oriented yet rooted in their order's charism were invited to participate in one of four Visioning Groups. This research unit was conducted through a series of weekend gatherings. The aim was to learn about the personality characteristics and beliefs of the individu-als and to develop strategies and agendas that could implement the visionaries' images of the future of religious life. Their prospec-tive views would also be compared with those of both leaders and members-at-large of religious orders. Selection of Participants Subjects for the Visioning Groups were recruited through a nomination process that began with a letter sent to the major superiors of 550 randomly selected congregations. The superi-ors were asked to consult with their councils, similar groups of advisors, or members-at-large to nominate one member of their order to participate in a group experience. Criteria for selection asked that the nominee be a person of vision who is recognized for his or her ability to live the charism of the congregation in today's society and that the nominee be able to articulate a sense of hope and a belief in the future of religious life. A total of 92 religious-- 48 women and 44 men (12 brothers and 32 priests)--participated in the Visioning Groups' gatherings. "The Dilemma": Affiliation vs. Transformation One of the most significant findings of the Visioning Group workshops emerged from an exercise conducted during the course of each gathering. Participants were organized randomly into groups of three or four people and given the task of identifying those elements critical to the future of religious life. After a period of private reflection, participants were asked to gather in their assigned groups and share the results of their reflections. Each of these groups then joined another, resulting in groups of 6 to 8. They continued the conversation and were then asked to con-struct an image or metaphor that captured visually and graphically the components they considered essential to a future vision of religious life. The results of their work included such images as a January-February 1993 35 Nygren and Ukeritis ¯ Religious Life Futures Project kaleidoscope, a prism, a jazz band, a symphony orchestra, and the spiral of unitive consciousness. After all groups in a session had ~'eported and presented their images of the future of religious life, each person was asked to consider all the models and to stand near the one he or she found most compelling in terms of a future vision. Participants were asked to base their choice on their willingness to make a personal commitment and to devote their energy to realizing that future vision. This request invariably created a dilemma for the partici-pants. Preferring a model designed by another group produced in most individuals a sense of guilt, of betrayal and abandonment of the group with which they had worked to produce an image. This process replicated the dilemma which many members of congregations experience in wanting to be involved in actualizing a compelling vision of the future, but desiring also to maintain existing relational bonds. While this sense of loyalty or affilia-tion that inhibits change is not unique to religious groups, it does represent a critical factor in groups moving toward changing the future. Affiliation is generally stronger than vision. This tension is particularly important to consider in light of the National Survey's finding that members of religious orders experience a particularly high need for affiliation. This dynamic is an important challenge for religious leaders. Visioning Groups Conclusions: Social Institution Revitalized religious life, rooted in Jesus Christ and the gospel's values, will manifest that spirit in the world by challeng-ing systems that oppress others, by living in visible simplicity, and by renewing congregations' fidelity to their founding pur-pose. The visioning groups view authority as power that is shared among communities of equals. This perception, however, may level the traditional notions of the vow of obedience and bring more democratic ideals into the classical traditions of religious life. Viewing the global community as the locus of redemption, sisters, brothers, and religious priests will face alterations in prayer, expanding their language for a greater inclusivity. They will choose to share in the world's suffering and will shift away from the rigidity of regional and juridical thinking. Members of reli- 36 Review for Religious gious orders will express their relationship with Jesus in the con-text of belonging, in shared symbolic life, and possibly in a shift in primary language. The dominant language of religious life has shifted from theological constructs to social and psychological paradigms. Many religious no longer use sacramental or tran-scendental frames of reference to describe their experience of God. Multiculturalism as normative is desirable, but confronting the personal and systemic racism that marks our society and reli-gious orders could be the single greatest challenge in the area of membership. Conclusions: Congregation Religious congregations ought to provide opportunities for structural expressions of emerging forms of religious life. To do so, they will have to discern the contemporary expression of their founder's charism, redefine or reestablish boundaries for mem-bership and behavior, and confront the discrepancies between espoused and lived values. The images (discussed above) of a future vision of religious life that were constructed by small teams were efforts to isolate and highlight a particular manifestation of a charism, not as an end in itself but to show a possible direction for the congregation to move in. At present, such efforts to regain the founding spirit are often viewed by the majority of members as marginal. When those who may have the vision are pressured to conform to the group, revitalization may be undermined. Conclusions: Individual Individuals within religious orders will shift from an internal to a global focus. They will need to acquire new interpersonal skills and an ability to cope with moving from stability and secu-rity to change and risk that lead to a more clearly focused mission. Challenging a culture that has supported privatism and indi-vidualism, members of religious congregations will need to reex-amine nonnegotiables. Relinquishing many previously held tenets, they will respond to the call of serving absolute human need in the spirit of their founder. New members must demonstrate the maturity to live a life of sacrifice, must possess or acquire the skills for leadership posi- .~anuary-Fetrruary 1993 37 Nygren and Ukeritis ¯ Reh~ious Life Futures Project tions in global and church communities, and must be able to sus-tain intimate relationships in the context of a celibate commit-ment. Current members, too, who continue to belong to religious congregations will need these skills and qualities and must prepare to live in communities that require them. D. Caring People The Caring People unit studied the characteristics of persons identified by members of their congregations as "uniquely car-ing" or "unusually helpful, thoughtful, understanding, or caring persons." All selected subjects received mailed packets that included a cover letter, a six-picture story exercise (projective technique), the National Survey questionnaire, and a variety of open-ended and short-answer measures. Because traditional question-and-answer research does not easily permit the study of unconscious motives, open-ended (projective) techniques were used to study the motive structures of these persons. This approach was espe-cially important because much research about traits and behavior typically depends on self-reports which introduce the possibility of bias in the direction of socially acceptable responses. In other words, what might have been measured in other studies was the need for consistency of self-image, not necessarily the subject's willingness to go to the assistance of a needy person. By coding responses to some open-ended questions, we were able to con-struct a profile of caring people. Findings The Caring People study found that, in contrast to typical religious, religious who are perceived as unusually helpful, under-standing, and caring feel closer to and more trusting of God, who is seen as the source of healing and care. On projective measures, caring religious score higher in trust and lower in mistrust than typical sisters, brothers, and priests and tend to portray authority as benevolent. Caring religious con-nect divine assistance, in contrast to individual effort, with heal-ing experiences. They are less self-controlling and more spontaneously inclined to generosity. Caring people state that they often find the experience of contemplative prayer very valuable. They also demonstrate a 3 8 Review for Religious greater interpersonal involvement in caring experiences. Caring religious describe these relationships as growing and mutual and as containing a wider meaning or significance beyond the imme-diate relationship. Finally, these religious experience more joy in caring and more zest for living. This contrasts with typical religious, who describe caring for others in tension-reduction terms. That is, typical religious report their caring as a response to a need in themselves such as caring out of duty or as a repayment, or car-ing in response to special needs such as the illness, rejection, or trauma of other people. Presence of God This research suggests that, for caring religious, helping is not simply a transaction between two people. There is a third force in the relationship that .might most generally be called a "benevolent authority" or, more simply, God. The caring reli-gious stays in close touch with God and wants to share this behev-olent authority with others. When encountering a person in need, the goal of the caring religious is not primarily to relieve his or her suffering, but to create a three-way relationship in which Jesus and the gospel's values are deeply involved. Helpers of this type do not see themselves as agents in the process; at most they are partners with or assistants to the real source of helping. They do not feel ultimately responsible. For this reason and also because the helping is in itself joyous, caring religious do not as readily "burn out." This description also explains why caring religious who are so motivated are perceived to be helpful rather than manipulative. Because they so obviously believe that of themselves they can do nothing and because they want to establish a mutually rewarding i'elationship, caring religious are not perceived as egoistically threatening the self-esteem, interpersonal power, or indepen-dence of others. To the extent that responding to absolute human need is embraced anew as the ultimate mission of religious congrega-tions, the formation and development of this motive for religious life is clearly essential. Caring People Conclusions: Social Institution This part of the research effort assumes that a fundamental ffanuary-Felrruary 1993 39 Nygren and Ukeritis ¯ Religious Life Futures Project component of the role identity of religious is their call to care for others. It also assumes the motive of desire for oneness with God. Perhaps the future of religious life will be defined increas-ingly by these attributes or actions on behalf of others that medi-ate the presence of God. Caring religious live an operative Christology that is simultaneously immanent and transcendent. Conclusions: Congregation The Caring People study suggests that the heart of congre-gational life is the life of Jesus Christ in the gospel. The imme-diacy of the presence of the caring person to another is possible because of this effort to mediate God, whom they see as a benev-olent authority and the source of their action. Conclusions: Individual The focus of individual formation must be increasingly spir-itual. This research would indicate that those who learn to be authentically caring are inclined spontaneously to generosity, are trusting, and are aware that God acts in and through them. This level of freedom requires viewing God as a benevolent authority in whose name one acts as mediator. E. Individual Interviews Using a standard protocol developed for use in the Individual Interviews phase of the study, the researchers 15robed persons identified as particularly cognizant and understanding of religious life's nature and purpose and of the challenges now facing women and men religious and identified, too, as having the qualities required for leadership in the future. The purpose of this por-tion of the study was to verify the beliefs of members-at-large about the nature and purpose of religious life and its mission, about emerging forms and structures, and about future directions and to compare these beliefs with those surfacing in other forums. Conclusions: Social Institution Interviewees noted that the mission of Jesus will be the cen-tral focus and that the spirituality of congregations will be rooted 40 Review for Religious in their charism. Driven by pressing social and ecclesial needs, charity and justice will be the focus of mission and ministry, and most apostolic community life will be in proximity to the poor. Although a clear church identity will be maintained, the struc-tures of religious life will be based on mission rather than canons, and the unique charism of religious life will remain largely distinct from hierarchical functions. An inclusive atmosphere will be marked by multiculturalism, a clear inclusion of women and the feminine, and a genuine respect for diversity. Perhaps the most striking discrepancy in the portrait of the future of the social institution of religious life that emerges from the Visioning Groups, the National Survey, and the Individual Interviews involves commitment to the poor. The random sam-ple of members reveals at most a moderate commitment to par-ticipate in an activity which has become increasing!y a mission espoused by many religiou~ orders and quite explicitly by the church. Conclusions: Congregation Some of several changes in congregational living could strengthen the religious orders of the future. Specifically, inter-viewees indicate that religious community life will be marked increasingly by the intentionality of sha~ed values, purpose, and resources. Some congregations whose charisms are similar will merge, the number of apostolic groups will decrease, and many groups will become smaller. Because their members report greater clarity of focus and mission, membership in monastic orders may increase. The ranks of religious orders will be marked by older mem-bers, with few younger members and many second-career entrants. New congregations, though few, will contribute to the revital-ization of religious life. Religious congregations must examine the impact of what has often been an uncritical introduction of associational and affilia-tional forms of membership. This will entail a focus on the mean-ing of membership and in many cases the reestablishment of boundaries. Congregations that are vital to the church will have an explicit focus, and their effectiveness will be enhanced by the members' commitment to the collective mission. January-February 1993 41 Nygren and Ukeritis ¯ Religious Life Futures Project Conclusions: Individual In the view of those who participated in the interviews, com-mitment to works of mercy is critical. Most individuals who belong to religious orders were motivated at the outset by their impulse to generosity and are sustained by their special relation-ship with God. By serving those with absolute human need, sis-ters, brothers, and religious priests will dedicate themselves to a high-cost, high-commitment life in communities that can be wit-nesses to Jesus Christ and the gospel. E Historical/Theological Monograph Because it is important also to understand the findings of the study from both historical and theological perspectives, the researchers commissioned a theological/historical monograph. Elizabeth Johnson CSJ, PhD, of Fordham University, will write a theological monograph focusing on religious life since the Second Vatican Council. John W. Padberg SJ, PhD, of Saint Louis University, will provide a historical postscript to her work. This work, projected for completion in 1993, will add perspective to the wealth of information collected, analyzed, and evaluated in this research effort. IV. Conclusions:Shaping the Future of Religious Life If religious life is to continue to be a vital force in the church and the world, the FORUS study concludes that dramatic changes must occur in most religious congregations in the United States. Fidelity to the spirit of the founder and responsiveness to critical and unmet human needs are basic to the ongoing mission of reli-gious communities. Yet, while individual examples abound, only in limited ways have religious acted collectively to address absolute human needs, new forms of poverty, and demands that seemingly outstrip the capacity of any group to respond. Vatican II called religious to a return to the "spirit of the founder." While most congregations have engaged in much study and have made great efforts to move in this direction, the absence of corporate commitment to meeting currently unmet needs in the light of gospel imperatives stands in contrast to the collective vision and action inspired by God that marked the birth of most apostolic, monastic, and contemplative congregations. Religious 42 Revieva for Religious life as a social institution in United States society is at a crossroads. To achieve a desired future, religious as a group as well as indi-viduals must confront the forces that currently restrain them and reinforce the dynamics that will allow them to be in fact respon-sive to absolute human need in accord with their particular charism. A future marked by significant revitalization will emerge for congregations that--in union with God, in fidelity to their founding purpose, and in response to absolute human need--confront the current gap between the gospel and the culture. The research concludes with an equation of sorts, depicted in Figure 2 below, that can be applied to all con-gregational traditions in vary-ing degrees. The interaction of eight critical factors in the context of personal and collec-tive conversion will move con-gregations from their current states to their desired futures. The research also concludes that for other groups the The absence of corporate commitment to meeting currently unmet needs in the light of gospel imperatives stands in contrast to the collective vision and action inspired by God that marked the birth of most apostolic, monastic, and contemplative congregations. restraints on advancement are severe and may lead to decline. What follows is a brief summary of the conclusions drawn from the various facets of the study. 1. Individualism and Vocation Since Vatican II, shifting paradigms of vocation and con-comitant cultural trends have deemphasized the distinctiveness of the religious life. The research suggests that the personal call to holiness given to all Christians in Lumen Gentium did in fact impact religious life and the understanding of the religious life. Religious feel somewhat ambivalent about their current state while at the same time celebrating the advances of the laity in the church since Vatican II. The age of experimentation in the church paral-leled vast cultural shifts in kanerican society towards individualism, cultural assimilation, and the democratization of all authority. ~anuary-February 1993 43 Nygren and Ukeritis ¯ Religious Life Futures Project Figure 2 Shaping the Future of Religious Life in the US Restraining Forces ~ lndividualisrn]~ ~Average Loadershipl_~ Aut"orit V'i