6.1: The Importance of Wording

6.1.1: The Importance of Wording

Learning Objective

Distinguish between an objective and a subjective tone in writing.

Key Points

• Tone is important in all writing. It conveys the author’s attitude towards the topic.
  Diction (word choice) and syntax (writing style) influence tone. 

• In academic writing, the tone should be formal and objective. The purpose of academic writing is to engage in a neutral rather than a subjective (or personal) dialog with the reader. 

• The audience for a piece of writing should always be considered when establishing tone. In academic writing, the audience is assumed to be a general unknown reader who does not necessarily have an in-depth knowledge of the topic. Therefore, all information must be clearly explained so that a general reader can follow it.

Key Terms

denotation

The literal or dictionary meaning of a word or phrase.

connotation

The wide array of positive and negative associations a word or phrase evoke in the reader.

diction

A writer’s distinctive choice of words.

syntax

The way in which words and phrases are put together.

tone

The writer’s attitude towards the subject and the audience, especially as influenced by diction and syntax.

Examples

• Objective tone: “A basic knowledge of wood anatomy and structure is vital to anyone seriously working with wood. A familiarity with the cellular structure of the tree leads to a better understanding of wood properties and behavior. What causes color, taste, and odor, and how does it affect wood’s intended use? What is the difference between density and specific gravity, and how does this relate to the weight and hardness of wood? An in-depth understanding leads to a more intelligent use of this versatile material.” —from With the Grain, by Christian Becksvoort, 2015. [Does this passage reflect a factual, informative tone, communicating questions and answers about wood?]
• Subjective tone: “I always tell people if you want to work with wood, you’ve got to know what it is. You need to understand a tree’s cells before you can know more about what wood is and how it acts. Believe it or not, I didn’t know where those weird colors, tastes, and smells came from until I learned how all those things affected how we use wood. I didn’t think density and specific gravity were important until I got how they related to wood’s weight and hardness. The more you know, the smarter you’ll be able to use this neat stuff called wood.” [Does this passage refer mostly to the author and reflect a conversational tone, including his or her opinions?]

Syntax

Writing with variety can make your writing distinctive and interesting. This can be achieved by using varied syntax, or sentence structure. Writing consistently short sentences can make your writing sound choppy. Using longer, more complex sentences can make your writing difficult to read and may bog the reader down. Additionally, sentence structure within a sentence can impact your reader’s response. While you don’t want to use too much variety in your sentences, knowing different ways to structure sentences is important. For example, here are a few different ways to begin your sentences: 

• Prepositional phrase: Out of necessity, the nonprofit animal society held its first fundraising event this year.  
• Sentence connective: Many organizations struggle with attendance for a new fundraising event. But the nonprofit animal society had tremendous success with their first pet show. 
• Appositive: A noted botanist, Jane Doe was named a Distinguished Fellow of the Botanical Society of America in 2013. 
• Adverbial clause: Suddenly, Jane Doe found herself among the most famous botanists of her generation. 

Academic writing should demonstrate an understanding of how to write effectively. When done correctly, using short and long sentences that start differently adds professionalism to your writing.

Diction

Syntax focuses primarily on sentence structure, while diction concerns the words contained in sentences. In academic writing, choosing the proper words impacts your argument as well as your credibility. Knowing the difference between the denotation, or literal meaning of words, and connotation, or the wide range of thoughts and impressions made by words or phrases, will improve academic writing. You may be unaware of the connotation of some words in addition to their literal meaning. Strengthen your diction by ensuring you know the full range of meaning of the words you use. Avoid overly informal diction as well, as these words are often less specific or simply not appropriate for academic writing.

Example:

The denotation of home is a location where a person or group resides.

The connotation of home varies from person to person. Most people view home with comfort, security, fond memories or affection.

Think of the difference in the words “domicile” vs. “home.” Both words mean “place of residence” in the dictionary but they communicate very different feelings. Domicile might be the best choice of term for a paper in law or real estate classes. Home might be a better choice for a sociology or childhood education paper.

Tone

Writing with variety can aid in developing the appropriate tone and hold your reader’s attention. Tone shows the writer’s attitude towards the subject and the audience. The writer’s tone can influence the reader’s response to the writing. In academic writing, it’s important to maintain an appropriate tone throughout. Writers can do this by paying attention to syntax and diction.

6.2: Word Choice

6.2.1: Precision

You can increase the clarity of your writing by using concrete, specific words rather than abstract, general ones.

Learning Objective

Classify words as specific or general

Key Points

• When possible, replace vague generalizations with more specific and concise wording. This clarifies for your reader the topic of your paper and the conceptual plane of your ensuing argument.
• You can increase the clarity of your writing by using specific words rather than general ones.
• Your objective when choosing words is not to avoid general words altogether, but rather to avoid using them when your readers will want more specific ones.

Key Terms

general words

All-inclusive words from a broader scope.

specific words

Precise words from a narrower scope.

Through precise word selection, you can increase the clarity of your argument by enabling your readers to grasp your intended meaning quickly and accurately. At the same time, it is important to keep in mind that your word choices affect a reader’s attitudes toward your presentation and your subject matter. Therefore, you also need to choose words that will convey your ideas clearly to your readers. This kind of precise writing will help your audience understand your argument. 

General vs. Specific Words

Almost anything can be described either in general words or in specific ones. General words and specific words are not opposites. General words cover a broader spectrum with a single word than specific words. Specific words narrow the scope of your writing by providing more details. For example, “car” is a general term that could be made more specific by writing “Honda Accord.” Specific words are a subset of general words. You can increase the clarity of your writing by choosing specific words over general words. Specific words help your readers understand precisely what you mean in your writing. Here’s an example of general and specific words in a sentence:

• General: She said, “I don’t want you to go.”
• Specific: She murmured, “I don’t want you to go.”

The words “said” and “murmured” are similar. They both are a form of verbal communication. However, “murmured” gives the sentence a different feeling from “said.” Thus, as a writer, choosing specific words over general words can add description to and change the mood of your writing.  

In academic writing, it is important to find a balance between general and specific words. Always using specific terms can overwhelm the reader and detract from your argument. Also, depending on what you are writing, general terms may be more appropriate than specific words. In scientific, technical, and other specialized fields, writers often need to make general points, describe general circumstances, or provide general guidance for action. For example, if you are writing a paper on best practices in business, you may write one of the following sentences:

• In the normal course of procedure, it is advised to avoid modifications in hiring procedures after they have been established.
• Normally, it is best to avoid changing hiring processes after they have been established.  

Both of these sentences make the same statement, but they may not both be appropriate for your paper. Writing with precision helps hold your audience’s attention. Making statements too wordy in an argument can be dull for your readers. Think of your audience while writing. Sometimes it is best to keep your writing simple and precise. The more precise your writing is, the easier it will be for your reader to understand your argument. Your objective when choosing words is to blend general and specific words together within your writing when appropriate, ensuring you keep your reader’s attention while conveying your message. 

6.2.2: Using the Dictionary and Thesaurus Effectively

Because words can differ depending on their context, it is a good idea to check the definition and spelling of any tricky words in a dictionary.

Learning Objective

Select appropriate tools to help with word choice

Key Points

• Spell-check features in word processors are helpful tools, but they will not catch all mistakes.
• A thesaurus can add variety to dry prose by helping you identify words with similar meanings.
• Always use a dictionary to confirm the meaning of any word about which you are unsure.
• Diction is important because it refers to the writer’s or speaker’s distinctive vocabulary choices and style, and it impacts word choice and syntax.

Key Terms

thesaurus

A publication, usually in the form of a book, that provides synonyms (and sometimes antonyms) for the words of a given language.

dictionary

A reference work with a list of words from one or more languages, normally ordered alphabetically and explaining each word’s meaning and sometimes containing information on its etymology, usage, translations, and other data.

Using the Dictionary and Thesaurus Effectively 

Always use a dictionary to confirm the meaning of any word about which you are unsure. Although the built-in dictionary that comes with your word processor is a great time-saver, it falls far short of college-edition dictionaries, or the Oxford English Dictionary (OED). If the spell-check tool suggests bizarre corrections for one of your words, it could be that you know a word it does not. When in doubt, always check a dictionary to be sure.

Vocabulary Choice and Style

If it feels like you keep repeating a word throughout your writing, pull out a thesaurus for ideas on different, more creative choices. A thesaurus can add some color and depth to a piece that may otherwise seem repetitive and mundane. However, make sure that the word you substitute has the meaning you intend to convey. Thesauruses provide words with similar meanings, not identical meanings. If you are unsure about the precise meaning of a replacement word, look up the new word in a dictionary.

Word Accuracy

Regardless
of the words you use, you must use them accurately. Usage
errors can distract readers from your argument. How can you ensure that
words are used accurately? Unfortunately, there is no easy way, but
there are some solutions. You can revisit a text that uses the word and
observe how the word is used in that instance. Additionally, you can
consult a dictionary whenever you are uncertain. Be especially careful
when using words that are not yet part of your usual vocabulary.

Connotation 

Connotation
is the extended or suggested meaning of a word beyond its literal
meaning. For example, “flatfoot” and “police detective” are often thought to
be synonyms, but they connote very different things: “flatfoot” suggests a
plodding, perhaps not very bright cop, while “police detective” suggests an intelligent professional.

Verbs,
too, have connotations. For instance, to “suggest” that someone has
overlooked a key fact is not the same as to “insinuate” it. To “devote” your
time to working on a client’s project is not the same as to “spend” your
time on it. The connotations of your words can shape your audience’s
perception of your argument. For example:

• Our sales team is constantly trying to locate new markets for our various product lines.
• Our sales team is constantly driving to locate new markets for our various product lines.

Register 

“Register” refers to a word’s association with certain situations or
contexts. In a restaurant ad, for example, we might expect to see the
claim that it offers “amazingly delicious food.” However, we would not
expect to see a research company boast in a proposal for a government
contract that it is capable of conducting “amazingly good studies.” Here,
the word “amazingly” is in the register of consumer advertising, but not
in the register of research proposals.

Being aware of the
connotation and register of the words you choose in your writing will
help increase your writing’s clarity.

6.3: Tone

6.3.1: Appropriate Language

The goal of academic writing is to present and articulate an argument to your readers.

Learning Objective

Distinguish between simple and complex language

Key Points

• Avoid writing that is pretentious and jargon heavy.
• In your writing, strive for clarity by using appropriate and concise language. This will make your overall argument much clearer for your reader.
• Longer words and sentences may confuse your readers, or can make the writing sound arrogant.

Key Terms

cliché

An expression, idea, or element of an artistic work which, although considered meaningful at some earlier time, has now become overused to the point of losing its original meaning or effect, even to the point of being trite or irritating.

colloquial

Denoting a manner of speaking or writing that is characteristic of familiar conversation; informal.

first person

A form of narrative writing using words in a way that gives the impression that the action is happening to the narrator.

jargon

Technical terminology unique to a particular subject.

argument

An attempt to persuade someone of something by giving reasons or evidence for accepting a particular conclusion. 

Based on the kind of language that readers encounter in a given piece of writing, a reader will draw conclusions about the writer that can enhance or distract from the persuasiveness of the argument. The writer’s tone, which is conveyed through word choice and sentence structure, impacts the reader’s response. The writer’s tone should be contingent on the type of writing. Academic writing should be more formal than personal writing. This formality is often conveyed through tone. Formal writing requires choosing words that are meaningful to the members of your audience. The ability to craft and control language is essential to writing effectively. Effective language matches the reader’s sense of what is appropriate for a given topic. Given that readers of academic papers expect a more formal level of interaction with a topic than do readers of popular writing, they expect a certain level of technical prose. Nonetheless, one should avoid unnecessarily complicated language, jargon, and clichés. It is important to remember that complicated ideas can be expressed clearly. Additionally, the use of first person in academic writing can be appropriate in certain situations. 

The Use of Simple Language

The goal of academic writing is to present and articulate an argument. While utilizing a large vocabulary can be helpful in terms of explaining complicated ideas in different ways, one does not want to complicate the language of a text. While contractions and colloquial words and phrases often make writing sound informal, the use of shorter words does not necessarily indicate an informal style. In fact, many writers prefer simpler language as it can help to clearly convey difficult ideas or concepts. Longer words and sentences may confuse your readers, or can make the writing sound arrogant. Here is an example:

• Overly complicated: The process of narrativization makes present, within a realm of the imaginary, a social and historical awareness that is unavailable within simple, material facticity.

The process of narrativization makes present, within a realm of the imaginary, a social and historical awareness that is unavailable within simple, material facticity

The title demonstrates an example of a sentence that is pretentious and jargon heavy. Avoiding pretentious writing and defining any technical jargon will endow your writing with a clarity that readers will appreciate.

• Simplified: Narratives demonstrate something about the world from which they emerge, despite being classified as fiction.

It’s a good rule of thumb, even in academic work, to err on the side of simplicity rather than linguistic ornamentation. In other words, avoid using needlessly inflated words that bloat your prose and distract your readers from your central argument. The goal is formal writing, not extravagant and flowery writing. 

Jargon

Jargon is language that is used in a particular context and may not be well understood outside of that context (e.g. language specific to a particular profession). In some situations, specialized terms can help you communicate effectively. They convey precise, technical meanings economically insofar as many specialized terms have no exact equivalent in everyday speech. They can also help you establish credibility in your field by showing that you are familiar with established conventions.

Still, while there are situations where the use of jargon is appropriate, in academic writing, it’s best to consider the audience first. 

Defining Terms for New Audiences

Formal writing may require using specialized terms even though some people in your audience may not understand them. For instance, you may be writing to a group of readers that includes people in your field and others outside of it, or you may be explaining an entirely new subject to your readers. In such cases, there are several ways to define the terms for readers who are not familiar with them:

1. Give a synonym:

• On a boat, a rope or cord is called a line.

2. Give a description:

• The exit gate consists of tow arms that hold a jug while it is being painted and then allow it to proceed down the production line.

3. Make an analogy:

• An atom is like a miniature solar system in which the nucleus is the sun and the electrons are the planets that revolve around it.

4. Give a classical definition, wherein you define the term by naming some familiar group of things to which it belongs and then identifying the key distinction between the object being defined and the other members of the group.

• A burrow is a hole in the ground dug by an animal for shelter or habitation.

Clichés

A cliché is an expression, idea, or element of an artistic work which has become overused to the point of losing its original meaning, or effect, and even to the point of being trite or irritating, especially when at some earlier time it was considered meaningful or novel. While clichés have a certain usefulness insofar as they can quickly communicate familiar ideas, they are rarely appropriate in formal writing. The reason we want to avoid using clichés in academic writing is that they tend to be ambiguous and can come off as overly colloquial and informal.

Using the First Person in Academic Writing 

Teachers or professors may have told you to take out any first-person
references to yourself in formal writing, particularly within persuasive papers where you are trying to convince a reader to take a specific position on a given
topic. While this is not an absolute rule, it is important to understand
why you have been told to avoid using subjective language, such as “I,”
“me,” or “my.” 

The primary reason that subjective language should
be avoided is to improve how a reader perceives the argument you are
presenting. Some forms of nonfiction writing, such as essayistic
writing, are enhanced by the use of subjective language, which introduces
the author as a presence within the text. Frequently, this use of
subjective language can imbue the writing with a quality that
many feel should be absent from argumentative papers. The use of first-person pronouns demonstrates how the author’s biographical particulars
enhance or expose something significant about the topic that they are
writing about. However, formal papers, such as those written for
college or graduate courses, tend to contain an argumentative structure
in which objective language is used to make claims with evidence leading to a
particular conclusion. 

Using
objective language helps shift your presence as a writer into the
background in order to foreground the particulars of the argument that
you are presenting. This can assist readers in smoothly following the
trajectory of your argument toward a particular conclusion, as opposed
to being constantly interrupted in order to be reminded that these are
your thoughts or opinions. Omitting first-person pronouns from your writing aids in developing a formal tone within your argument. 

6.4: Diction

6.4.1: Gender-Neutral Language

Gender neutrality in language minimizes assumptions about the gender or sex of people referred to in writing or speech.

Learning Objective

Give examples of gender-neutral language

Key Points

• Gender neutrality in English aims to minimize assumptions about the gender or biological sex of people referred to in speech.
• Proponents of gender-neutral language argue that the use of gender-specific language often implies male superiority or reflects an unequal state of society.
• Proponents of gender-neutral language claim that linguistic clarity, as well as equality, would be better served by having “man” refer unambiguously to males, and “human” to all persons.
• Proposed alternatives to the generic “he” include “he or she,” “s/he,” or the use of “they” in the singular.
• In some cases, when writing or speaking about a person whose gender is unknown, ambiguous, or unimportant, gender-neutral language may be achieved by using gender-inclusive, gender-neutral, or epicene words in place of gender-specific ones.
• Gender-neutral language may also be achieved by parallel usage of existing gender-specific terms.

Key Terms

gender-neutral language

Used to eliminate (or neutralize) references to gender when describing people.

epicene

Refers to the loss of gender distinction, often specifically the loss of masculinity.

singular they

A pronoun that is gender neutral and refers to a single person when paired appropriately with a gender-neutral antecedent. 

Gender-neutral language is neither masculine nor feminine and avoids using gender specific pronouns such as “he” or “she.” The purpose of gender neutrality in writing is to minimize assumptions about the gender or sex of people.

The Importance of Gender-Neutral Language

Proponents of gender-neutral language argue that gender-specific language (such as policeman or waitress) often implies male superiority or reflects an unequal state of society. According to The Handbook of English Linguistics, generic masculine pronouns (such as he) and gender-specific language serve as examples of how, historically, society has treated men as the standard for all humans. Words referring to women often devolve in meaning, and frequently take on sexual overtones. In essence, the use of masculine pronouns when referring to subjects of mixed or indeterminate gender is frowned upon in academic writing. The following sentence is a good illustration of avoiding sexist
language by using the gender neutral “humanity” and “human” rather than
the gender-specific “mankind”: “Since then, humanity has entered a
new phase of spiritual development, an evolution of high faculties, the
very existence of which in human nature our ancestors scarcely
suspected.” Using gender-neutral pronouns avoids presumptions
of male superiority. 

Guidelines for Gender-Neutral Language

In most cases of writing or speaking about a person whose gender is unknown, ambiguous, or irrelevant, gender-neutral language may be achieved through the use of gender-inclusive, gender-neutral, or epicene words (having characteristics of both sexes) in place of gender-specific ones. If no gender-inclusive terms exist, new ones may be coined. It is also important to consider parallel usage of existing gender-specific terms. 

When possible and contextually appropriate, use nouns and pronouns that are gender-neutral rather than gender-specific.

• Instead of: waitress; businessman; workman; mailman
• Use: server; businessperson; worker; mail carrier
• Instead of: mankind; man-made; man hours; man-sized job
• Use: humankind; synthetic; working hours; large job

When referring to people in general, use plural pronouns “s/he” or “he or she” instead of gender-linked pronouns.

• Instead of: She looks for premium products and appreciates a stylish design.
• Use: They look for premium products and appreciate a stylish design.
• Instead of: Before a new business-owner files tax returns, he should seek advice from a certified public accountant.
• Use: Before a new business-owner files tax returns, she or he should seek advice from a certified public accountant.

When a singular pronoun is needed, use the “singular they” with a singular antecedent. In these examples, the antecedents are “the patient” and “someone.”

•  Instead of: The patient should be informed of how much he will need to pay prior to the procedure. 
• Use: The patient should be informed of how much they will need to pay prior to the procedure. 
• Instead of: Someone left his lunch in the break-room microwave.
• Use: Someone left their lunch in the break-room microwave. 

When in doubt, use gender-neutral salutations.

• Instead of: Dear Sir; Dear Gentlemen
• Use: Dear Personnel Department; Dear Switzer Plastics Corporation; Dear Director of Research

Additionally, many editing houses, corporations, and government bodies have official policies favoring in-house use of gender-neutral language. In some cases, laws exist to enforce the use of gender-neutral language in certain situations, such as job advertisements. Different authorities have presented guidelines on when and how to use gender-neutral, or “non-sexist” language. Several are listed below:

• The Publication Manual of the American Psychological Association has an oft-cited section on “Guidelines to Reduce Bias in Language.”
• American Philosophical Association—published in 1986
• The Guardian—see section called “gender issues”
• “Avoiding Heterosexual Bias in Language,” published by the Committee on Lesbian and Gay Concerns, American Psychological Association.

6.4.2: Active Voice vs. Passive Voice

In grammar, “voice” refers to the relationship between the subject and the verb—that is to say, how the action is performed.

Learning Objective

Classify sentences as active or passive

Key Points

• In active voice, the subject performs the action of the verb. A clause with an active, transitive verb will follow a pattern of subject-verb-object—for example, “The dog [subject] eats [verb] the food [object].”
• A sentence in active voice will have different emphasis, and thus a slightly different tone, than if the same sentence were written in passive voice.
• Try to use active voice unless there is a reason to use passive voice.

Key Terms

passive voice

A sentence construction in which the verb’s action is performed, in some cases “by” a subject.

active voice

A sentence construction in which a subject performs the action of the verb.

voice

In grammar, the relationship between the subject and the verb—i.e., how the action is performed.

In grammar, “voice” refers to the relationship between the subject and the verb—that is to say, how the action is performed. Active voice emphasizes the subject as the one performing the action. In contrast, passive voice deemphasizes the subject as performer and instead frames the subject as receiving the action.

Which voice you choose to use should depend on the type of writing and your audience. The active voice is more frequently used in non-scientific writing. Since it usually uses fewer words, it is more succinct and clearer than the passive voice. However, only using the passive voice in scientific writing can make it dry and bog down the reader. Choosing the proper voice will set the tone for your writing, but keep in mind that most writing will include both active and passive voice. 

Let’s take a look at some examples.

Active and Passive Voice

In a sentence written in active voice, the subject’s role in performing the action of the verb is emphasized. These sentences will generally follow the pattern of subject–verb–object (or simply subject–verb, for intransitive verbs—i.e., for verbs that don’t need an object):

• The student [subject] finishes [verb] the exercise [object].
• Fred [subject] ate [verb] his sandwich [object].
• Eve [subject] survived [verb, no object needed].

In a sentence written in passive voice, the subject’s role in performing the action of the verb is deemphasized. Instead, passive voice frames the subject as receiving the action. Passive voice is the opposite of active voice, so sentences in passive voice tend to follow the reverse pattern of object–verb–subject, and the word “by” often shows up between the verb and the subject:

• The exercise [object] was finished [verb] by the student [subject].
• The sandwich [object] was eaten [verb] by Fred [subject].

In most sentences in passive voice, you will see the word “by” between the verb and the subject. In fact, a rule of thumb for recognizing passive voice if you see the construction “was/is [verb]ed by” (for verbs like finished or started) or “was/is [verb]en by” (for verbs like eaten and forgotten).

Most sentences can be phrased to be in either active or passive voice. For example:

• Active voice: The teacher sent the student to the principal’s office.
• Passive voice: The student was sent to the principal’s office by the teacher.

Which one you choose may not significantly change the meaning of the sentence, but it will likely change its tone and emphasis. It is important to understand the connotations of both active and passive voice, therefore, so your sentences don’t sound odd or out of context.

That said, sentences with intransitive verbs—verbs that do not take direct objects—cannot be passivized because there is no object to put before the verb. For example:

• Millions of people lived.
• We arrived yesterday.
• Shelly will be asleep.

Try to put these in passive voice (in the order object–verb–subject): “[Blank] was lived by millions of people.” It doesn’t make sense! Intransitive verbs can never be used in passive voice.

Most of the Time, Use Active Voice

Active voice is generally more direct and neutral than passive voice. Passive voice tends to sound evasive, like the writer is trying to avoid blame for whoever performed an action, or academic, like a dry science report. Active voice is generally more effective at capturing the reader’s attention. For example, 

• Passive voice: The ball was hit by Linda. 
• Active voice: Linda hit the ball.
• Passive: The theme that was most commonly addressed by 17th-century writers was …
• Active: 17th-century writers most commonly addressed the theme of … 

The use of active voice is more direct and provides information about who performed the action.

Guidelines for Avoiding Passive Voice

1. Avoid sentences that use the verb “to be” or its variations (is, was, will be). The verb “to be” often describes what something is rather than what it does.
2. Avoid beginning sentences with “It is …” or “There are …”
3. Avoid sentences where the action is frozen in a word that ends with one of the following suffixes: -tion; -ment; -ing; -ion; -ance. These words mute the action that the verb should communicate by turning them into nouns.

Using Passive Voice Effectively

All that said, passive voice certainly has its uses—you just need to be smart about when you use it! For example:

• “Hamlet was written by Shakespeare.” Here, the passive voice emphasizes “Shakespeare,” the most important part of the sentence.
• “Jamey was fascinated by language arts.” The passive-voice construction of this sentence emphasizes “Jamey” more effectively than the active-voice equivalent.
• “Smoking is strictly prohibited.” Because a passive verb consists of two words, an adverb (like strictly) is accentuated when placed between “to be” and the past participle.

When Writing a Research Paper

In particular, scientific research writing often requires that the writer deemphasize themselves as the performer of the action. This makes the language more objective; in theory, an experiment should happen the same way and have the same results no matter who conducts it. For example:

• Active voice: I found that the frog population decreased by 10% last year.
• Passive voice: It was found that the frog population decreased by 10% last year.

When Talking about General Rules

Passive voice is also often used when talking about general rules, to make it clear that the performer is less important than the action. For example:

• Active voice: The landlord expects the rent check on the first of the month.
• Passive: The rent check will be collected on the first of the month.

Passive voice can also be used to make rules or expectations sound less harsh. For example:

• Active voice: Do not smoke.
• Passive voice: Smoking is prohibited.

Knowing the different uses of voice is as important in writing as in singing

The majority of your sentences should be in active voice. However, there are also effective uses of passive voice; when used sparingly, it can give particular sentences special emphasis.

6.4.3: Concision

It is important to keep sentences concise; the longer and more complex a sentence gets, the harder it is for a reader to understand.

Learning Objective

Distinguish between concise and wordy sentences

Key Points

• Make your writing more forceful, memorable, and persuasive by making it concise.
• Concise writing is clear and reader-friendly, increasing your reader’s ability to understand your argument.
• Avoid padding your writing with extra words or lengthening sentences and paragraphs to meet a word count for an assignment.
• Match your vocabulary to your reader and your writing task. Avoid using elevated or flowery language to sound impressive.

Key Term

concision

Brevity, or the practice of using no more words than necessary to describe an idea.

Simplifying Sentences

Varying sentence lengths and types of sentences can help to break up otherwise tedious prose blocks. However, it is important to keep in mind that the longer and more complex a sentence gets, the more difficult it can be for a reader to interpret that sentence. Take this paragraph as an example:

• The author of the novel illustrated various differences between the characters. The novel, which was a romantic novel, portrayed characters in devious sorts of ways in which they did things that were very deceptive. The two main characters, April and Jamil, were never definitely and completely honest with each other, which led to the final outcome of their divorce. This outcome, which left them both miserable as they still loved one another, is designed in a way to show the readers just exactly how the novelist feels about lying in relationships.

This paragraph is quite wordy and takes longer than necessary to make its point. Let’s break it up into shorter sentences and omit unnecessary words:

• The romantic novelist portrayed the main characters as devious. April and Jamil were in love, but they were never honest with each other, and ultimately they got a divorce. This shows us how the novelist feels about lying. 

This is much clearer! Students often make the mistake of using more words than necessary because they think it will impress their reader or professor. However, instructors and other readers easily see through this, and they usually just want you to get your point across! Always consider your reader, and make your writing easy for them to grasp.

Revising for Concision

Consider the following general guidelines. These are good rules to keep in mind when you are revising your paper for concision.

Eliminate Words

Eliminate unnecessary words. Keep an eye out for places where you can convey your meaning more directly. For example:

• Original: The physical size of the workroom is too small to accommodate this equipment.
• Revised: The workroom is too small for this equipment.

The physical size of the workroom is too small to accommodate this equipment

Though the title communicates the necessary information about this image, it uses too many words to do so. A simplified version of the sentence is: “The workroom is too small for this equipment.” Look for places in your own writing where you can remove unnecessary words to make your writing more concise and efficient. Your readers will appreciate it!

Also, try to avoid the following phrases, which are redundant and have more concise alternatives:

• absolutely essential
• in my personal opinion
• basic fundamentals
• past memories
• each and every
• small in size
• first and foremost
• very unique

Combine Short, Choppy Sentences

After you eliminate unnecessary words, you may find yourself with much shorter sentences, so your paper may now feel choppy. Combine these short sentences to improve flow and clarify your train of thought. The single combined sentence may be longer than each of the two original sentences, but overall you are using fewer words and communicating your point more clearly.

• Original: Water quality in Fairfield declined in March. This decline occurred because of the heavy rainfall that month. All the extra water overloaded Tomlin County’s water treatment plant.
• Revised: Water quality in Fairfield declined in March because heavy rainfall overloaded Tomlin County’s water treatment plant.

Additional Examples

Example 1

• Original: According to optimal quality-control practices in manufacturing any product, it is important that every component part that is constituent of the product be examined and checked individually after being received from its supplier or other source but before the final, finished product is assembled. (45 words)
• Revised: Effective quality control requires that every component be checked individually before the final product is assembled. (16 words)

Example 2

• Original: Over the most recent monthly period, there has been a large increase in the number of complaints that customers have made about service that has been slow. (27 words)
• Revised: Last month, many more customers than usual complained about slow service. (11 words)

5.1: Commas

5.1.1: Introduction to Commas

Learning Objective

Identify situations that require commas

Key Points

• The comma is a punctuation mark that indicates a slight break, pause, or transition.
• Commas are necessary before a coordinating conjunction (for, and, nor, but, or, yet, so) that separates two independent clauses.
• Commas are necessary after introductory words, phrases, or clauses in a sentence.
• Commas are necessary to set off elements that interrupt or add information in a sentence.

Key Terms

participle

A form of a verb that may function as an adjective or noun. English has two types of participles: the present participle and the past participle.

preposition

Any of a closed class of non-inflecting words typically employed to connect a noun or a pronoun, in an adjectival or adverbial sense, with some other word: a particle used with a noun or pronoun (in English always in the objective case) to make a phrase limiting some other word.

adverb

A word that modifies a verb, adjective, another adverb, or various other types of words, phrases, or clauses.

adjective

A word that modifies a noun or describes a noun’s referent.

infinitive

The uninflected form of a verb. In English, this is usually formed with the verb stem preceded by “to.” For Example: “to sit.”

nonrestrictive

Describes a modifier that can be dropped from a sentence without changing the meaning. 

The comma is a punctuation mark that indicates a slight pause or a transition of some kind. It serves many different grammatical functions and provides clarity for readers. Commas have many uses, but the situations in which they are used can be broken down into four major categories: 

1. Put a comma before a coordinating conjunction (for, and, nor, but, or, yet, so) that separates two independent clauses.
2. Put a comma after introductory words, phrases, or clauses in a sentence.
3. Use commas to set off elements that interrupt or add information in a sentence.
4. Use commas to visually separate distinct but related items.

Coordinating Conjunctions 

Coordinating conjunctions are conjunctions, or joining words, that are placed between words and phrases of equal importance. Used with coordinating conjunctions, commas allow writers to express how their complete thoughts relate to one another. They also help avoid the choppy, flat style that arises when every thought stands as a separate sentence. 

When joining two independent clauses, or clauses that could stand on their own as full sentences, place a comma before the conjunction. If the second independent clause is very short, or if it is an imperative, the comma can be omitted. 

Example: He was looking forward to the dance, but he was not sure what he would wear.

Both clauses are independent and could stand on their own as complete sentences. When they are joined in the same sentence, however, they must be connected with a comma and a coordinating conjunction.

Introductory Phrases and Clauses

Put a comma after introductory words, phrases, or clauses that introduce a sentence.

Dependent Clauses

A dependent clause is a group of words that can’t stand on its own as a sentence because it does not express a complete thought. Sometimes a dependent clause can be used to introduce a sentence. In this situation, use a comma after the dependent clause. 

Example: Because I was running late, I did not have time to eat breakfast.

The first phrase could not stand on its own as a sentence, but when joined to the independent clause by the comma, the sentence is complete. 

Note that a dependent clause can come later in the sentence, but in that case, you would not use a comma:

Example: I did not have time to eat breakfast because I was running late.

Only use a comma to separate a dependent and independent clause if the dependent clause is first!

Introductory Words and Phrases

Writers can give readers information that limits or otherwise modifies a main idea that follows. To do so, writers can use introductory words or introductory phrases. These introductory elements can be one word or several. Common introductory elements include transition words and statements about time, place, manner, or condition. 

Often, introductory words are also adverbs. Commas are always used to set off certain adverbs, including the following:

• however
• in fact
• therefore
• nevertheless
• moreover
• furthermore
• still

Example: Therefore, it is obvious that we should fund the dam-building project.

If one of these adverbs appears in the middle of a sentence, within one clause, it should be set off by a pair of commas. 

Example: The dam, however, will take seven years to construct.

For some adverbs, using a comma is optional. In these situations, say the sentence to yourself. If you think a pause makes your sentence more clear or emphasizes what you want to emphasize, use the comma; otherwise, drop it.

• then
• so
• yet
• instead
• too
• first, second, etc.

Example: First we’ll go to the mall. Then we’ll go to the pet store.

Example: First, we’ll go to the mall. Then, we’ll go to the pet store.

Both of those sentence pairs are correct!

Adding Information: Modifiers and Appositives

Modifiers are words or phrases that are added to sentences in order to make their meaning more specific. In order to understand what kind of modifiers require commas, first we have to understand the concept of “restrictiveness.”

Nonrestrictive Modifiers

Some modifiers are nonrestrictive, meaning that the sentence would still have essentially the same meaning, topic, and structure without them. They simply add a little extra information. 

Example: Katy’s new fishbowl is growing some weird algae.

In this sentence, “new” and “weird” are nonrestrictive. The sentence without them would be grammatically correct and have essentially the same meaning. They do not require any commas.

Restrictive Modifiers

Restrictive modifiers, on the other hand, are those whose use is essential to the overall meaning of the sentence. In other words, if you dropped a restrictive modifier from a sentence, the meaning of the sentence would change.

Example: The man who scratched your car left a note on your windshield.

The phrase “who scratched your car” is a restrictive modifier because it explains which man the sentence refers to,  and because the sentence would be unclear without it.

Appositives

An appositive is a grammatical construction in which two noun phrases are placed side by side, with one identifying the other.

Example: My sister, Alice Smith, likes jelly beans.

In this sentence, “Alice Smith” is an appositive modifying the noun phrase “my sister.” Because the name Alice Smith is just adding information, and the sentence would still have the same basic meaning without it, this is an example of a nonrestrictive appositive. Nonrestrictive appositives do require commas.

On the other hand, a restrictive appositive provides information essential to identifying the noun being described. It limits or clarifies that noun phrase in some crucial way, and the meaning of the sentence would change if the appositive were removed. In English, restrictive appositives are not set off by commas.

Example: He loves the television show Iron Chef.

In this sentence, “Iron Chef” is an appositive modifying the noun phrase “television show.” Because the meaning of the sentence would be unclear without “Iron Chef,” it is considered restrictive and thus does not require a comma.

Separating Related But Distinct Information

Attribution

Use a comma to set off the attribution (i.e., who said or wrote a quotation) from the quotation itself. If the attribution comes at the end of the quotation, then the comma should go inside the quotation marks, even if the quotation is a complete sentence.

Example: “We really messed up this time,” he said.

A pair of commas should be used to set off the attribution when it appears in the middle of the quotation.

Example: “Well,” she said, “I think I would prefer to have hamburgers tonight.” 

Do not replace a question mark or exclamation point in a quotation with a comma. 

Example: “Where are we going now?” Eugene asked.

Lists 

When there are three or more items in a list, commas should be used between the items.

Example: Buy apples, bananas, and grapefruit at the store.

The final comma, the one before and or or, is known as a serial comma (also called the Oxford or Harvard comma). The serial comma should always be used where it is needed to avoid confusion. Can you see the ambiguity in the example below?

Example: “Thank you for the award. I’d like to thank my parents, Charles Darwin and Lindsay Lohan.”

It looks like the speaker’s parents are Darwin and Lohan, when in reality, the speaker meant to thank her parents and Charles Darwin and Lindsay Lohan. In this situation, the serial comma needs to be used.

Otherwise, depending on the chosen style guide, it is considered optional. Still, not using the serial comma is relatively uncommon in American English, except in newspapers and magazines.

Accumulation

Another type of relationship between ideas that writers signal to readers with a comma is that of accumulation. Occurring at the end of a sentence, cumulative clauses hook up to a main clause and add further information. They often include additional descriptive details. 

Example, “The sun rose slowly over the mountains, warming the faces of the miners in the valley, inviting the jays out from their nests, shimmering in the morning dew, inching the day forward one shadow at a time.” 

As in this example, accumulative phrases should be separated by commas.

Dates

Commas should also be used when writing dates. There should always be a comma between the day and the year and between the year and the rest of the sentence. 

Example: “On December 7, 1941, Japanese planes attacked the U.S. Naval base in Hawaii.” 

Even when the date is not a dependent clause, as it is in the previous example, the last item in the date should be followed by a comma. 

Calling in sick for work, Beth hoped her boss would not suspect anything

The title contains a verb in its introductory phrase, which warrants a comma before the final clause. The comma serves a variety of grammatical functions, including to indicate pauses or set off introductory phrases, as in the title example.

5.1.2: Common Comma Mistakes

Learning Objective

Recognize common mistakes when using commas

Key Points

• Avoiding unnecessary commas is simply a matter of understanding the rules of correct comma usage.
• A comma splice occurs when two independent clauses are joined only by a comma instead of an acceptable form of punctuation, such as a comma with a coordinating conjunction, a semicolon, or a period.
• A run-on sentence occurs when two or more independent clauses fuse together without punctuation to separate them.

Key Terms

preposition

Any of a closed class of non-inflecting words typically employed to connect a noun or a pronoun, in an adjectival or adverbial sense, with some other word: a particle used with a noun or pronoun (in English always in the objective case) to make a phrase limiting some other word.

participle

A form of a verb that may function as an adjective or noun. English has two types of participles: the present participle and the past participle.

comma

Punctuation mark, usually indicating a pause between parts of a sentence or between elements in a list.

Rules of Thumb

Comma usage errors fall into two categories: using unnecessary commas and failing to use necessary commas. To avoid making errors when using commas in your writing, you must understand when commas belong (and when they don’t).

Keep the following rules of thumb in mind for when to not use commas.

Do not use a comma to separate a subject from its predicate. 

• Incorrect: Registering for our fitness programs before September 15, will save you thirty percent of the membership cost.
• Correct: Registering for our fitness programs before September 15 will save you thirty percent of the membership cost.

Do not use a comma to separate a verb from its object, or a preposition from its object. 

• Incorrect: I hope to mail to you before Christmas, a current snapshot of my dog Benji.
• Incorrect: She traveled around the world with, a small backpack, a bedroll, a pup tent, and a camera.
• Correct: I hope to mail to you before Christmas a current snapshot of my dog Benji.
• Correct: She traveled around the world with a small backpack, a bedroll, a pup tent, and a camera.

Do not misuse a comma after a coordinating conjunction. 

• Incorrect: Sleet fell heavily on the tin roof but, the family was used to the noise and paid it no attention.
• Correct: Sleet fell heavily on the tin roof, but the family was used to the noise and paid it no attention.

Do not use commas to introduce restrictive (i.e., necessary) modifiers. 

• Incorrect: The fingers, on his left hand, are bigger than those on his right.
• Correct: The fingers on his left hand are bigger than those on his right.

Do not use a comma before a dependent clause that comes after an independent clause. This is called a disruptive comma. 

• Incorrect: The future of print newspapers appears uncertain, due to rising production costs and the increasing popularity of online news sources.
• Incorrect: Some argue that print newspapers will never disappear, because of their many readers.
• Correct: The future of print newspapers appears uncertain due to rising production costs and the increasing popularity of online news sources.
• Correct: Some argue that print newspapers will never disappear because of their many readers.

Do not use a comma after a short introductory prepositional phrase unless you mean to add extra emphasis. 

• Incorrect: Before the parade, I want to eat pizza.
• Correct: Before the parade I want to eat pizza.

Do not use a comma between adjectives that work together to modify a noun. 

• Incorrect: I like your dancing, cat t-shirt.
• Correct: I like your dancing cat t-shirt.

Do not use a comma to set off quotations that occupy a subordinate position in a sentence, often signaled by the words “that,” “which,” or “because.” 

• Incorrect: Participating in a democracy takes a strong stomach because, “it requires a certain relish for confusion,” writes Molly Ivins.
• Correct: Participating in a democracy takes a strong stomach because “it requires a certain relish for confusion,” writes Molly Ivins.

Do not use a comma when naming only a month and a year. 

• Incorrect: The next presidential election will take place in November, 2016.
• Correct: The next presidential election will take place in November 2016.

Do not use a comma in street addresses or page numbers, or before a ZIP or other postal code.

• Correct: The table appears on page 1397.
• Correct: The fire occurred at 5509 Avenida Valencia.
• Correct: Write to the program advisor at 645 5^th Street, Minerton, Indiana 55555.

Comma Splice Errors

A comma splice occurs when two independent clauses (that is, two complete sentences) are joined only by a comma. In those situations, an acceptable form of punctuation would be a semicolon or a period. For example:

• Incorrect: Every day, millions of children go to daycare with millions of other kids, there is no guarantee that none of them are harboring infectious conditions.
• Incorrect: Many daycares have strict rules about sick children needing to stay away until they are no longer infectious, enforcing those rules can be very difficult.
• Incorrect: Daycare providers often undergo extreme pressure to accept a sick child “just this once,” the parent has no other care options and cannot miss work.

Once you discover where the two independent clauses are “spliced,” there are several ways to separate them. You can make two complete sentences by inserting a period. This is the strongest level of separation. You can use a semicolon between the two clauses if they are of equal importance; this allows your reader to consider the points together. You can use a semicolon with a transition word to indicate a specific relation between the two clauses; however, you should use this sparingly. You can use a coordinating conjunction following the comma, and this also will indicate a relationship. Or, you can add a word to one clause to make it dependent.

For example:

• Correct: Every day, millions of children go to daycare with millions of other kids. There is no guarantee that none of them are harboring infectious conditions.
• Correct: Many daycares have strict rules about sick children needing to stay away until they are no longer infectious; enforcing those rules can be very difficult.
• Correct: Many daycares have strict rules about sick children needing to stay away until they are no longer infectious, but enforcing those rules can be very difficult.
• Correct: Daycare providers often undergo extreme pressure to accept a sick child “just this once” because the parent has no other care options and cannot miss work.

Run-On Errors

While a run-on sentence, also known as a fused sentence, might just seem like a type of sentence that goes on and on without a clear point, the technical grammatical definition of a run-on sentence is one that fuses, or “runs together,” two or more independent clauses without using punctuation to separate them. The independent clauses may not have any punctuation separating them, or they may have a coordinating conjunction between them, but without the comma that needs to accompany it to separate the independent clauses. For example:

• Incorrect: Every day, millions of children go to daycare with millions of other kids there is no guarantee that none of them are harboring infectious conditions.
• Incorrect: Many daycare centers have strict rules about sick children needing to stay away until they are no longer infectious but enforcing those rules can be very difficult.
• Incorrect: Daycare providers often undergo extreme pressure to accept a sick child “just this once” the parent has no other care options and cannot miss work.

If you locate a run-on sentence and find where the two independent clauses “collide,” you can decide how best to separate the clauses. Fixing run-on sentences is very similar to fixing comma splices. You can make two complete sentences by inserting a period. This is the strongest level of separation. You can use a semicolon between the two clauses if they are of equal importance; this allows your reader to consider the points together. You can use a semicolon with a transition word to indicate a specific relation between the two clauses; however, you should use this sparingly. You can use a coordinating conjunction and a comma, and this also will indicate a relationship. Or, you can add a word to one clause to make it dependent.

For example:

• Correct: Every day, millions of children go to daycare with millions of other kids. There is no guarantee that none of them are harboring infectious conditions.
• Correct: Many daycares have strict rules about sick children needing to stay away until they are no longer infectious; however, enforcing those rules can be very difficult.
• Correct: Many daycares have strict rules about sick children needing to stay away until they are no longer infectious, but enforcing those rules can be very difficult.
• Correct: Daycare providers often undergo extreme pressure to accept a sick child “just this once” because the parent has no other care options and cannot miss work.

5.2: Colons and Semicolons

5.2.1: Colons

Colons are used to introduce detailed lists or phrases and to show relationships between numbers, facts, words, and lists. 

Learning Objective

Identify sentences that require colons

Key Points

• A colon can introduce the logical consequence, or effect, of a previously stated fact.
• A colon can introduce the elements of a set or list. 
• Colons separate chapter and verse numbers in citations of passages in widely studied texts, such as epic poetry, religious texts, and the plays of William Shakespeare. A colon can also separate the subtitle of a work from its principal title.
• Colons may also
  separate the numbers indicating hours, minutes, and seconds in abbreviated measures of time.
• Sometimes, a colon can introduce speech or dialogue.

Key Terms

enumeration

A detailed account in which each thing is noted.

appositive

A word or phrase that is placed with another as an explanatory equivalent.

Using Colons in Sentences

Some punctuation marks, such as periods, question marks, and exclamation points, indicate the end of a sentence. However, commas, semicolons, and colons all can appear within a sentence without ending it.

The colon has a wide range of uses. The most common use is to inform the reader that whatever follows the colon proves, explains, defines, describes, or lists elements of what preceded the colon. Essentially, sentences that are divided by colons are of the form, “Sentence about something: list or definition related to that sentence.”

In modern American English usage, a colon must be preceded by a complete sentence with a list, a description, an explanation, or a definition following it. The elements that follow the colon may or may not be complete sentences. Because the colon is preceded by a sentence, it is a complete sentence whether what follows the colon is another sentence or not.

In American English, many writers capitalize the word following a colon if it begins an independent clause—that is, a clause that can stand as a complete sentence. The Chicago Manual of Style, however, requires capitalization only when the colon introduces speech or a quotation, a direct question, or two or more complete sentences.

Other Uses of the Colon

In addition to being used in the middle of sentences, colons can also be used to visually separate information.

Separating Chapters and Verses 

A colon should be used to separate chapter and verse numbers in citations of passages in widely studied texts, such as epic poetry, religious texts, and the plays of William Shakespeare.

• Example: John 3:14–16 refers to verses 14 through 16 of chapter three of the Gospel of John.

Separating Numbers in Time Abbreviations

• Example: The concert begins at 11:45 PM.
• Example: The rocket launched at 09:15:05 AM.

Separating Titles and Subtitles

An appositive colon also separates the subtitle of a work from its principal title.

• Example: Star Wars Episode IV: A New Hope

Introducing Speech

Similar to a dash and a quotation mark, a segmental colon can introduce speech.

• Example: Benjamin Franklin proclaimed the virtue of frugality: “A penny saved is a penny earned.”

This form can also be used in written dialogues, such as plays. The colon indicates that the words following an individual’s name are spoken by that individual.

• Example: 

Patient: Doctor, I feel like a pair of curtains. 

Doctor: Pull yourself together!

5.2.2: Semicolons

Semicolons are used to link related clauses and to separate information in lists that contain additional punctuation.

Learning Objective

Identify when and how to use semicolons properly

Key Points

• Semicolons connect two closely related, independent clauses (complete sentences) and turn them into a single sentence. 
• Semicolons take the place of periods or commas followed by coordinating conjunctions (FANBOYS: for, and, nor, but, or, yet, so).
• Semicolons should be used before conjunctive adverbs (however, meanwhile, therefore, otherwise, in addition, and others) to link together sentences. Follow conjunctive adverbs with a comma. 
• Semicolons can be used in lists that include lots of commas.

Key Terms

coordinating conjunction

Simple words that connect two independent clauses together or connect an independent clause to a dependent clause (sentence fragment). They are remembered by the acronym FANBOYS.

dependent clause

This group of words also contains a subject and/or verb, but do not create a complete, stand-alone sentence.

conjunctive adverbs

These words are preceded by a semicolon and followed by a comma. There is a long list, but here are some examples: however, meanwhile, in addition, and therefore. 

independent clause

A group of words that contains a subject (noun) and a verb and can stand as a complete sentence. 

Semicolons link together independent clauses that are closely related, making them flow into a single sentence. Often, using a period to separate related sentences makes them seem choppy. A semicolon is an alternative to using a period or a comma plus coordinating conjunction. Semicolons used before conjunctive adverbs also replace periods. It is important to understand that using a semicolon in place of a period fuses two independent clauses into one; therefore, make sure you don’t start the second independent clause with a capital letter. The final use of semicolons is to separate items in a list or series with lots of commas or other punctuation.  

Linking Independent Clauses

Semicolons can be used to join closely related, independent clauses. There are three ways to link independent clauses: with a period, a semicolon, or a comma plus coordinating conjunction (FANBOYS). 

• With a period: John finished his homework. He forgot to pass it in.
• With a semicolon: John finished his homework; he forgot to pass it in. 
• With a comma plus a coordinating conjunction: John finished his homework, but he forgot to pass it in. 

Remember, use of a semicolon is only appropriate if the sentences have a strong relationship to each other. 

Independent Clauses Linked with Conjunctive Adverbs

Semicolons can also be used between independent clauses linked with a conjunctive adverb. Follow the conjunctive adverbs with a comma. This usage is very formal, and is typically found in academic tests.  

• Example: Everyone knows he committed the crime; accordingly, we expect the jury to agree on a guilty verdict. 
• Example: The students failed to finish their in-class assignment; therefore, they are required to remain after school. 

Listing Items in a Series 

Semicolons are used between items in a list or series when those items themselves contain internal punctuation.

• Example: Several fast-food restaurants can be found within the following cities: London, England; Paris, France; Dublin, Ireland; and Madrid, Spain.
• Example: Here are three examples of familiar sequences: one, two, three; a, b, c; first, second, third.
• Example:
  Dental hygienists perform clerical jobs such as bookkeeping, answering phones, and filing; administrative jobs such as filing out insurance claims and maintaining patient
  files; and clinical jobs such as making impressions of the teeth and gums, taking x-rays, and removing sutures.

Formatting with Semicolons

Capitalization 

Semicolons are typically followed by a lowercase letter, unless that letter is the first letter of a proper noun like “I” or “Paris.” In some style guides, such as APA, however, the first word of the joined independent clause should be capitalized.

Spacing

Modern style guides recommend no space before semicolons and one space after. Modern style guides also typically recommend placing semicolons outside of ending quotation marks.

5.3: Apostrophes and Quotation Marks

5.3.1: Apostrophes

Apostrophes are used to mark contractions, possessives, and some plurals.

Learning Objective

Identify words which require apostrophes

Key Points

• Apostrophes can be used to indicate possessives (for example, “my dad’s recipe.”)
• Apostrophes can be used to form contractions, where they indicate the omission of characters (for example, “don’t” instead of “do not.”)
• Apostrophes can also be used to form plurals for abbreviations, acronyms, and symbols in cases where forming a plural in the conventional way would make the sentence ambiguous.

Key Term

apostrophe

A punctuation mark, and sometimes a diacritic mark, in languages that use the Latin alphabet or certain other alphabets.

Using Apostrophes to Show Possession

Apostrophes can be used to show who owns or possesses something. 

For Nouns Not Ending in -s

The basic rule is that to indicate possession, add an apostrophe followed by an “s” to the end of the word.

• The car belonging to the driver = the driver’s car.
• The sandwich belonging to Lois = Lois’s sandwich.
• Hats belonging to children = children’s hats.

For Nouns Ending in -s

However, if the word already ends with “s,” just use the apostrophe with no added “s.” For example:

• The house belonging to Ms. Peters = Ms. Peters’ house. (Even though Ms. Peters is singular. )

The same holds true for plural nouns, if their plural ends in “s.” Just use an apostrophe for these!

• Three cats’ toys are on the floor.
• The two ships’ lights shone through the dark.

For More Than One Noun

In sentences where two individuals own one thing jointly, add the possessive apostrophe to the last noun. If, however, two individuals possess two separate things, add the apostrophe to both nouns. For example:

• Joint: I went to see Anthony and Anders’ new apartment. (The apartment belongs to both Anthony and Anders.)
• Individual: Anders’ and Anthony’s senses of style were quite different. (Anders and Anthony have individual senses of style.)

For Compound Nouns

In cases of compound nouns composed of more than one word, place the apostrophe after the last noun. For example:

• Dashes: My brother-in-law’s house is down the block.
• Multi-word: The Minister for Justice’s intervention was required.
• Plural compound: All my brothers-in-law’s wives are my sisters.

For Words Ending in Punctuation

If the word or compound includes, or even ends with, a punctuation mark, an apostrophe and an “s” are still added in the usual way. For example:

• Westward Ho!’s railway station
• Louis C.K.’s HBO special

For Words Ending in -‘s

If an original apostrophe, or apostrophe with s, is already included at the end of a noun, it is left by itself to perform double duty. For example:

• Our employees are better paid than McDonald’s employees.
• Standard & Poor’s indexes are widely used.

The fixed, non-possessive forms of McDonald’s and Standard & Poor’s already include possessive apostrophes.

Don’t Use Apostrophes For …

Nouns that are not possessive. For example:

• Incorrect: Some parent’s are more strict than mine.

Possessive pronouns such as its, whose, his, hers, ours, yours, and theirs. These are the only words that are able to be possessive without apostrophes. For example:

• Incorrect: That parakeet is her’s.

Using Apostrophes to Form Contractions

In addition to serving as a marker for possession, apostrophes are also commonly used to indicate omitted characters. For example:

• can’t (from cannot)
• it’s (from it has or it is)
• you’ve (from you have)
• gov’t (from government)
• ’70s, (from 1970s)
• ’bout (from about)

An apostrophe is also sometimes used when the normal form of an inflection seems awkward or unnatural. For example:

• K.O.’d rather than K.O.ed (where K.O. is used as a verb meaning “to knock out”)

Using Apostrophes to Form Plurals

Apostrophes are sometimes used to form plurals for abbreviations, acronyms, and symbols where adding just s as opposed to ‘s may leave things ambiguous or inelegant. For example, when you are pluralizing a single letter:

• All of your sentences end with a’s. (As opposed to “All of your sentences end with as.”)
• She tops all of her i’s with hearts. (As opposed to “She tops all of her is with hearts.”)

In such cases where there is little or no chance of misreading, however, it is generally preferable to omit the apostrophe. For example:

• He scored three 8s for his floor routine. (As opposed to “three 8’s.”)
• She holds two MAs, both from Princeton. (As opposed to “two MA’s.”)

5.3.2: Quotation Marks

Quotation marks are most often used to mark direct speech or words from another author or speaker. 

Learning Objective

Identify situations which require quotation marks

Key Points

• Quotation marks indicate words that are spoken by someone who is not the author.
• Quotation marks are also used to title short literary works such as poems, short stories, essays, and newspaper and magazine articles. 
• Quotation marks can also be used to show irony or highlight specific words. 
• In research papers, it is important to use quotation marks to highlight the work of another author when directly quoting that author. 

Key Term

quotation mark

A punctuation mark used to denote speech or when words are copied from another author or speaker; can be double quotations (“) or single quotations (‘). 

Quotation marks are most commonly used
to mark direct speech or identify the words of another author or speaker.
Quotation marks can also be used to highlight specific words, express the title of a short literary work, or to emphasize irony.  

Speech

Single or double quotation
marks denote either speech or a quotation. Double quotes are preferred in the
United States. Regardless, the style of opening and closing quotation marks
must match. For example:

• Single quotation marks: ‘Good
  morning, Frank,’ said Hal. 

• Double quotation marks: “Good
  morning, Frank,” said Hal.

For speech within speech,
use double quotation marks on the outside, and single marks on the inner quotation. For example:

• “Hal said, ‘Good morning,
  Dave,'” recalled Frank.

When
quoted text is interrupted, a closing quotation mark is used before the interruption, and an
opening quotation mark is used after the interruption. Commas are often used
before and after the phrase as well. For example:

• “Hal said everything was going well,” noted Frank,
  “but also that he could use a little help.”

Quotation marks are not
used for paraphrased speech because a paraphrase is not a direct quote. Quotation marks represent another person’s exact words.

Quoting Literature and Research

In most cases, quotations
that span multiple paragraphs should be set as block quotations, and thus do
not require quotation marks. When quotation marks are used for
multiple-paragraph quotations, the convention in English is to give opening
quotation marks to the first and each subsequent paragraph, using closing
quotation marks only for the final paragraph of the quotation. 

In research papers and
literary analyses writers often need to quote a sentence or a phrase. One
will need to use quotation marks when quoting authors to show which words are
from the other work. Here is an example sentence: 

• When J. K. Rowling began
  writing the Harry Potter series, she never expected “the boy who lived” to
  become known worldwide. 

In this example, it is clear that the phrase “the
boy who lived” is from J. K. Rowling’s book. 

Titles

As
a rule, a whole publication should be italicized. For example, Harry
Potter and the Sorcerer’s Stone is
italicized because it is a book. The titles of sections within a larger publication or of smaller works (such as poems, short stories, named chapters,
journal papers, newspaper articles, TV show episodes, editorial sections of
websites, etc.) should be written within quotation marks. Thus, when
referencing a chapter from the book one would use quotation marks: Harry Potter and the Sorcerer’s Stone begins with the chapter entitled “The Chosen
One.”

Let’s explore some other
examples. 

• Shakespeare’s Romeo and Juliet
• Dahl’s “Taste” in Completely Unexpected Tales
• Arthur C. Clarke’s “The
  Sentinel”

• The first chapter of 3001: The Final Odyssey is “Comet Cowboy”
• “Extra-Terrestrial
  Relays,” Wireless
  World, October 1945

• David Bowie’s song “Space
  Oddity” from the album David Bowie

Nicknames

Quotation marks can also
offset a nickname embedded in an actual name, or a false or ironic title
embedded in an actual title. For example:

• Nat “King” Cole

• Miles “Tails” Prower

• Dwayne “The Rock” Johnson

Use-Mention Distinctions

Either quotation marks or
italics can indicate when a word refers to the word itself rather than its associated concept (i.e., when the word is “mentioned” rather than “used”).

• Cheese is derived from milk. [Use]
• Cheese has calcium, protein, and phosphorus. [Use]
• “Cheese” is derived from
  a word in Old English. [Mention]
• Cheese has three e’s. [Mention]

Irony

Quotes indicating verbal
irony or another special use are sometimes called scare quotes. For example:

• He shared his “wisdom”
  with me.
• The lunch lady plopped a glob of
  “food” onto my tray.

Quotation marks are also
sometimes used to indicate that the writer realizes that a word is not being
used in its current commonly accepted sense. In these cases, the quotation
marks can call attention to slang, special terminology, a neologism, or they
can indicate words or phrases that are unusual, colloquial,
folksy, startling, humorous, metaphoric, or that contain a pun. For example:

• Crystals somehow “know”
  which shape to grow into.

• I hope your diving meet goes
  “swimmingly”!

Using quotation marks in
these ways should be avoided when possible.

Punctuating Quotations

In English, question marks and exclamation marks are placed inside or outside quoted material depending on whether they apply to the whole sentence or just the quoted portion. Commonly, they apply to the quoted portion and will be included inside the quotation marks. In some situations, however, the exclamation mark or question mark will apply to the sentence as a whole and will come after the quotation mark. In contrast, colons and semicolons are always placed outside of the quotation marks. Let’s explore this punctuation rule further with some examples. 

• Did he say, “Good morning, Dave”? (The question mark does not refer to the phrase within the quotation marks so the question mark is placed outside of the quotation marks.)
• No, he said, “Where are you, Dave?” (Here, the question mark is part of the question posed within the quotation marks.)
• There are three major definitions of the word “gender”: vernacular, sociological, and linguistic. (Colons and semicolons always come after the quotation mark.)

In American English, commas and periods are usually placed inside quotation marks, except in the few cases where they may cause serious ambiguity. For example:

• “Carefree,” in general, means “free from care or anxiety.”
• The name of the song was “Gloria,” which many already knew.
• She said she felt “free from care and anxiety.”
• “Today,” said the Prime Minister, “I feel free from care and anxiety.”
• To use a long dash on Wikipedia, type in “—”. (Here, the period comes after the quotation mark because quotation marks are used to highlight specifically what should be typed.)

The style used in the UK contains only punctuation used by the original source, placing commas, periods, question marks, and exclamation marks inside or outside quotation marks depending on where they were placed in the material that is being quoted.

• “Carefree” means “free from care or anxiety.” (American style)
• “Carefree” means “free from care or anxiety”. (British style)

5.4: Hyphens and Dashes

5.4.1: Hyphens

Hyphens are often used to connect two words into a single term. 

Learning Objective

Identify situations which require a hyphen

Key Points

• Hyphens connect two words to make a single word. 
• Hyphens are also used to attach a prefix to a word.  
• In some situations, hyphens connect adverbs and adjectives to describe a noun. This can be avoided by rewording the sentence. 
• The placement of a hyphen can greatly change the meaning of a word and thus the entire sentence.

Key Terms

hyphen

The symbol “-“, typically used to join two or more words to form a new word.

homograph

A word that is spelled the same as another but has a different meaning and usually sounds different.

Hyphens (“-“) connect two words to make a single
word. Though they look similar to dashes (“–” and “—”), they serve a different purpose. The dash is
a form of punctuation that comes in between words whereas hyphens combine words.
Like most components of English punctuation, hyphens have general rules
regarding how they should be used. Hyphens are often used to connect adverbs and adjectives
when describing a noun. Let’s explore these concepts in greater detail. 

Linking Prefixes

Hyphens can be used to link prefixes such as non-, sub-, and
super- to their main words. While it is possible (especially in American
English) to attach these prefixes without hyphens, it is generally helpful to
hyphenate when the letters brought into contact are the same. It’s also helpful
when the letters are vowels, when a word is uncommon, or when the word could
easily be misread. For example:

• Non-negotiable
• Sub-basement
• Pre-industrial

Units

In general, values and
units are hyphenated when the unit is given as a whole word:

• 30-year-old man
• One half-dose

Homographs

Homographs are words that are spelled the same, but mean different
things and may be pronounced differently. To prevent confusion, hyphens can be
used to distinguish between homographs. For example:

• Re-dress (to
  dress again)

• Redress (to
  remedy or set right)

Combining Adverbs and Adjectives 

Hyphens can be used to combine an adverb and adjective to describe
a noun. In this situation, the adverb is describing the adjective, and the
adjective is describing the noun. However, when the adverb ends with -ly, a hyphen should not be used. 

• Disease-causing
  nutrition

• Beautiful-looking
  flowers

• A well-meaning
  gesture

It is not always necessary to use a hyphenated word. Sentences can be rearranged to avoid the need for a hyphen. If the adverb
and adjective come after the noun being described, a hyphen is not needed. For
example:

• A light-blue
  handbag sat on the bench.

• The handbag was
  light blue.

 

Remember that using hyphens to combine adverbs and adjectives in
this way creates a new word. The placement of hyphens can greatly change the
meaning of a word, thus changing the entire sentence. Let’s look at some
examples of how removing a hyphen changes the meaning. 

• Disease-causing poor nutrition. (Poor nutrition that causes disease.)
• Disease causing poor nutrition. (A
  disease that causes poor nutrition.)

• Little-celebrated paintings (Paintings that are underappreciated.)
• Little celebrated paintings (Small,
  appreciated paintings.)

• Government-monitoring program (A
  program that monitors the government.)

• Government monitoring program (A
  program the government monitors.)

Using hyphens correctly is important
to clarifying these phrases. 

5.4.2: Em Dashes and En Dashes

Dashes are often used to mark interruptions within sentences and show relationships between words.

Learning Objective

Use em dashes and en dashes correctly in your writing

Key Points

• Dashes are commonly used to indicate an unexpected or emphatic pause, but they serve other specific functions as well.

• Dashes are often used to mark interruptions within sentences, illustrate relationships between words, and demarcate value ranges.
• There are two kinds of dashes: em dashes (—) and shorter en dashes (–).
• Dashes should not be confused with hyphens (-). 

Dashes

There are two
kinds of dashes: em dashes (—) and shorter en dashes
(–). 

The Em Dash

Em dashes are often used to mark interruptions within sentences. They can be used with or without spacing. 

For example:

Three unlikely companions—a canary, an eagle, and a parrot—flew by my window in an odd flock. (Chicago Style)

Three unlikely companions — a canary, an eagle and a parrot — flew by my window in an odd flock. (AP Style)

Em dashes are also used to
indicate that a sentence is unfinished because the speaker has been
interrupted. Similarly, they can be used in place of an ellipsis to illustrate an
instance where a sentence is stopped short because the speaker is too emotional
to continue. 

For example:

• “Hey,” said Paul,
  “where do you think—”
• “I never understood why you—” Cesar trailed off.

Em dashes are sometimes
used to summarize or define prior information in a sentence. 

For example:

• When he saw his brother—his
  long-lost brother who disappeared six years prior—he broke down in tears. (Chicago Style)

• Today is St. Patrick’s Day — a day
  for family. (AP Style)

The En Dash

En dashes are used
to demonstrate definite ranges of values. In these cases, there should not be
any spaces around the en dash. 

For example:

• June–July 1967

• 1:00–2:00 p.m.

• For ages 3–5

• pp. 38–55

• President Jimmy Carter (1977–1981)

The en dash can also be
used to contrast values, or illustrate a relationship between two things. There are no spaces around the en dashes in these instances.  

For
example:

• Radical–Unionist coalition

• New York–London flight

• Mother–daughter relationship

• The Supreme Court voted 5–4 to
  uphold the decision

• The McCain–Feingold bill

An exception to the use of
en dashes is made, however, when combined with an already hyphenated compound.
In these cases, using an en dash is distracting. Use a hyphen instead. 

For
example:

• Non-English-speaking air traffic controllers
• Semi-labor-intensive industries

When he saw his brother—his long-lost brother who disappeared six years prior—he broke down in tears.

The title contains an example of em dash usage, which, in this case, shows a break in the sentence. 

5.5: Other Punctuation

5.5.1: Parentheses

Parentheses can be used to interject remarks or other information into a sentence. 

Learning Objective

List the uses of parentheses

Key Points

• Parentheses can be used to set off supplementary, interjected, explanatory or illustrative remarks.
• The words placed inside the parentheses are not necessary to understanding or completing the sentence.
• Square brackets are mainly used to enclose explanatory or missing material, which is usually added by someone other than the original author.
• Parentheses are sometimes used to enclose numbers within a sentence.

Key Term

parentheses

Punctuation marks used in matched pairs to set apart or interject additional text into a sentence.

Example

Parentheses

Parentheses can be used to
set off supplementary, interjected, explanatory, or illustrative remarks. They are tall punctuation marks “()” used in matched pairs within text, to set apart or interject other text.  

The words placed inside the parentheses are not necessary to understanding or completing the sentence. The words within the parentheses could be removed and a complete sentence would still exists.

Parentheses may also be nested (usually with one set (such as this) inside another set). This is not common in formal writing (though sometimes other brackets [especially square brackets] will be used for one or more inner set of parentheses [in other words, secondary {or even tertiary} phrases can be found within the main parenthetical sentence]).

There are many ways to use parentheses.

Interrupted Sentence

• Jimmy (who we all know is
  smart) said we should keep searching.
• Be sure to call me
  (extension 2104) when you get this message.

• Copyright affects how much
  regulation is enforced (Lessig 2004).

• Sen. John McCain (R.,
  Arizona) ran for president in 2008.

Any punctuation inside
parentheses or other brackets is independent of the rest of the text. When
several sentences of supplemental material are used in parentheses, the ending punctuation is placed within the parentheses. For example:

• Mrs. Pennyfarthing (What?
  Yes, that was her name!) was my landlady.

Enumeration 

Parentheses are sometimes used to enclose numbers within a sentence. The purpose of using numbers within parentheses is to highlight multiple points in one sentence. 

• All applicants must submit (1) a cover letter, (2) a resume, (3) a list of references, (4) an essay, and (5) letters of recommendation. 

The numbers within parentheses highlight the items applicants need to include. They are intended to add clarity to the sentence. 

Square Brackets

Square
brackets are mainly used to enclose explanatory or missing material, which is
usually added by someone other than the original author. This is especially
prevalent in quoted text. For example:

“I appreciate it [i.e., the
honor], but I must refuse. “

“The future of
psionics [i.e., mental powers that affect physical matter] is in doubt.”

Modifying Quotations

Square brackets may also
be used to modify quotations. For example, if referring to someone’s statement
“I hate to do laundry,” one could write: He “hate[s] to do
laundry.”

The bracketed expression
“[sic]” is used after a quote or reprinted text to indicate the
passage appears exactly as in the original source; a bracketed ellipsis
“[…]” is often used to indicate deleted material; bracketed
comments indicate when original text has been modified for clarity. For
example:

• “I’d like to thank
  [several unimportant people] and my parentals [sic] for their love, tolerance
  […] and assistance [emphasis added].”

5.5.2: Ending Punctuation

Ending punctuation identifies the end of a sentence, and most commonly includes periods, question marks, and exclamation marks.

Learning Objective

Identify the correct punctuation to end a given sentence

Key Points

• Ending punctuation comprises symbols that indicate the end of a sentence, such as periods, question marks, and exclamation points.

• Periods are used at the end of declarative or imperative sentences.
• Question marks come at the end of sentences that make a request or ask a direct question. Declarative sentences sometimes contain direct questions.
• A sentence ending in an exclamation mark may be an exclamation, an imperative, or may indicate astonishment.

Key Terms

exclamation mark

A punctuation mark usually used after an interjection or exclamation to indicate strong feelings or high volume (shouting).

question mark

Punctuation at the end of a sentence that asks a direct question.

period

The punctuation mark that indicates the end of a sentence.

Ending punctuation comprises symbols that indicate the end of a sentence. Most commonly, these are periods,
question marks, and exclamation points. Ending punctuation can also be referred to
as end marks, stops, or terminal punctuation. 

There are three main types
of ending punctuation: the period, the question mark, and the exclamation mark.
A period (.) is the punctuation mark that indicates the end of a sentence.
The question mark (?) replaces a period at the end of a sentence that asks
a direct question. The exclamation mark (!) is a punctuation mark usually used
after an interjection or exclamation to indicate strong feelings or high volume
(shouting), and often marks the end of a sentence. 

Period 

Periods are used at the
end of declarative or imperative sentences. Recall that declarative sentences
make statements and imperative sentences give commands. Periods can also be
used at the end of an indirect question. Indirect questions are designed to ask
for information without actually asking a question. Let’s review some examples.

• My
  dog is a golden retriever. (declarative sentence)

• Go
  get your dog and bring him inside the house. (imperative sentence)

• Janet’s
  mom and dad want to know what she is doing. (indirect question)

• “Get
  some paper towels,” she ordered. (declarative sentence containing an imperative
  statement) 

Periods are also used in
abbreviations. For example, “doctor” is abbreviated “Dr.” and “junior” is abbreviated “Jr.” Remember that if an abbreviation that uses a period comes at the end of a
sentence you do not add a period—the period with the abbreviation
serves as the ending punctuation as well. 

Question Mark 

Question marks come at the
end of sentences that make a request or ask a direct question. Declarative
sentences sometimes contain direct questions. 

• What
  is Janet doing? (direct question)

• Her
  mother asked, “What are you doing, Janet?” (declarative sentence with a direct
  question)

Exclamation Mark 

A sentence ending in an
exclamation mark may be an exclamation, an imperative, or may indicate
astonishment. Like question marks, exclamation marks can be included within
declarative sentences. Let’s review some examples. 

• Wow!
  (exclamation)

• Boo!
  (exclamation)

• Stop!
  (imperative)

• They
  were the footprints of a gigantic duck! (astonishment)

• He
  yelled, “Stay off the grass!” (declarative sentence that includes an exclamation)

Exclamation marks are
occasionally placed mid-sentence with a function similar to a comma, for
dramatic effect, although this usage is obsolescent: “On the walk, oh!
there was a frightful noise.”

Informally, exclamation
marks may be repeated for additional emphasis (“That’s great!!!”),
but this practice is generally considered unacceptable in formal prose. The
exclamation mark is sometimes used in conjunction with the question mark. This
can be in protest or astonishment (“Out of all places, the squatter-camp?!”);
again, this is informal. Overly frequent use of the exclamation mark is
generally considered poor style, for it distracts the reader and devalues the
mark’s significance.

Cut out all those exclamation points.

The famous author F. Scott Fitzgerald was not a fan of exclamation points; in his words: “Cut out all those exclamation points. An exclamation point is like laughing at your own jokes.”

5.6: General Mechanics

5.6.1: Common Spelling Errors

It is important to be familiar with common spelling errors to avoid them in your own writing.

Learning Objective

Recognize common spelling errors

Key Points

• It is important to be familiar with spelling errors that writers frequently make so you can avoid them in your own writing.
• Knowing why these mistakes occur will help you write with better awareness.
• Word-processing programs usually have a spell-checker, but you should still carefully check for correct changes in your words. This is because automatic spell-checkers may not always understand the context of a word.

Key Terms

phonetics

The study of the physical sounds of human speech (phones) and the processes of their physiological production, auditory reception, and neurophysiological perception, as well as their representation by written symbols.

typo

A spelling error.

homophone

A word which is pronounced the same as another word but differs in spelling or meaning or origin, for example: carat, caret, carrot, and karat.

The Importance of Spelling

Misspelling a word might seem like a minor mistake, but it can reflect very poorly on a writer. It
suggests one of two things: either the writer does not care enough about his
work to proofread it, or he does not know his topic well enough to properly spell words
related to it. Either way, spelling errors will make a reader less
likely to trust a writer’s authority.

The
best way to ensure that a paper has no spelling errors is to look for them
during the proofreading stage of the writing process. Being familiar with the
most common errors will help you find (and fix) them during the writing
and proofreading stage.

Sometimes,
a writer just doesn’t know how to spell the word she wants to use. This
may be because the word is technical jargon or comes from a language other than
her own. Other times, it may be a proper name that she has not
encountered before. Anytime you want to use a word but are unsure of how to
spell it, do not guess. Instead, check a dictionary or other reference work
to find its proper spelling.

Common Spelling Errors

Phonetic Errors

Phonetics is a field that studies the sounds of a language. However, English phonetics can be tricky: In English, the pronunciation of a word does not always relate to the way it is spelled. This can make spelling a challenge. Here are some common phonetic irregularities:

• A word can sound
  like it could be spelled multiple ways. For example: “concede” and
  “conceed” are the same phonetically, but only “concede” is
  the proper spelling.

• A word has silent
  letters that the writer may forget to include. You cannot hear the
  “a” in “realize,” but you need it to spell the word
  correctly.

• A word has double
  letters that the writer may forget to include. “Accommodate,” for
  example, is frequently misspelled as “acommodate” or
  “accomodate.”

• The writer may
  use double letters when they are not needed. The word “amend” has
  only one “m,” but it is commonly misspelled with two.

Sometimes,
words just aren’t spelled the way they sound. “Right,” for example,
does not resemble its phonetic spelling whatsoever. Try to become familiar with
words that have unusual or non-phonetic spellings so you can be on the lookout
for them in your writing. But again, the best way to avoid these misspellings
is to consult a dictionary whenever you’re unsure of the correct spelling.

Homophones

“Bread”
and “bred” sound the same, but they are spelled differently, and they mean
completely different things. Two words with different meanings but the same
pronunciation are homophones. If you don’t know which homophone is the right
one to use, look both up in the dictionary to see which meaning (and spelling)
you want. Common homophones include:

• right, rite,
  wright, and write

• read (most tenses
  of the verb) and reed

• read (past, past
  participle) and red

• rose (flower) and
  rose (past tense of rise)

• carat, caret, and
  carrot

• to, two, and too
• there, their, and
  they’re
• its and it’s

Typographical Errors

Some spelling errors are caused by the writer accidentally typing the wrong thing.
Common typos include:

• Omitting letters
  from a word (typing “brthday” instead of “birthday,” for
  example)

• Adding extra
  letters (typing “birthdayy”)

• Transposing two
  letters in a word (typing “brithday”)

• Spacing words
  improperly (such as “myb irthday” instead of “my birthday”)

Being aware of these
common mistakes when writing will help you avoid spelling errors. 

5.6.2: Capital Letters

Capital letters are used to make certain words stand out.

Learning Objective

Identify words that must be capitalized

Key Points

• Three situations in which a capital letter should always be used are at the start of sentences, proper nouns, and for the pronoun “I.”
• Names and nicknames, languages, geographical names, religions, days of the week, months, holidays, and some organizations are considered proper nouns.
• In titled works (such as books, articles, or artwork) the majority of the words are capitalized.

Key Terms

capitalization

Writing a word with its first letter as a capital letter (upper-case letter) and the remaining letters in lower case.

proper noun

A word denoting a particular person, place, organization, ship, animal, event, idea, or other individual entity.

Capital letters identify
proper names, people and their languages, geographical names, and certain government
agencies. Different style manuals have different rules for capitalization, so it’s important to have a style guide on hand while you write in case you have a question about capitalization. There are manuals for MLA, APA, Chicago/Turabian, and other styles. 

However, there are general rules for capitalization which apply to all writing.

Starting a Sentence

Always capitalize the very first word of a sentence, no matter what it is.

• Experienced cooks usually
  enjoy experimenting with food.

The Pronoun “I”

Always capitalize the first-person singular pronoun “I.”

• Sometimes, I wish I could
  cook with them.

Quoting Others

Directly quoted speech is capitalized if it is a full sentence.

• The head chef said to me, “Anyone
  can become a good cook if they are willing to learn.”

Proper Nouns

Names or nicknames,
people, languages, geographical names, religions, days of the
week, months, holidays, and some organizations are considered proper nouns.
Proper nouns should always be capitalized. 

Names and Nicknames

A name or nickname should
always be capitalized. This includes brand names.

• John Paul II
• Cindy Parker
• Buffalo Bill
• Pepsi
• Nike
• Scotch tape

People and Languages

Names referring to a
person’s culture should be capitalized. Languages are also capitalized.

• African Americans
• Caucasian
• Eskimos
• French
• English
• Japanese

Geographical Names

The names of cities,
states, countries, continents, and other specific geographic locations are capitalized.

• Arctic Circle
• China
• New York
• Europe

Organizations

Government agencies,
institutions, and companies capitalize their names.

• Ford Motor Company
• International Red Cross
• Internal Revenue Service
• University of South
  Carolina

Days, Months, and Holidays

Days of the week, months,
and holidays are always capitalized. However, seasons (fall, spring, summer,
and winter) are not capitalized. 

• Tuesday
• October
• Independence Day

Religions

Religions and their
adherents, holy books, holy days, and words referencing religious figures are
capitalized.

• Christianity and Christian
• Hinduism and Hindu
• Islam and Muslim
• Judaism and Jew
• Bible, Koran, Talmud, Book
  of Mormon

• Easter, Ramadan, Yom
  Kippur

• God, Allah, Buddha

Titled Work 

In titled works (such as
books, articles, or artwork) the majority of the words are capitalized. A few
exceptions are a, an, the, and, but, or, nor, for, so, and yet. These words are
only capitalized if they come at the beginning of the title. This can vary
based on style, so be sure to check your manual for specifics. 

• The Scarlet Letter

• From Here to Eternity

• Harry Potter and the Chamber of Secrets

• Girl with a Pearl Earring

5.6.3: Abbreviations and Acronyms

An abbreviation is the shortened form of a word or phrase.

Learning Objective

Use abbreviations appropriately in an academic context

Key Points

• There are rules that explain how a writer may shorten a long word or phrase into an abbreviation or acronym.
• Following abbreviation and acronym rules ensures that the reader always understands what these abbreviations mean.
• Phrases like “lol” or “brb” are considered inappropriate for formal papers.

Key Terms

acronym

Abbreviations formed from the initial components in a phrase or a word. These components may be individual letters (as in CEO) or parts of words (as in Benelux and Ameslan).

abbreviation

A shortened form of a word or phrase, used to represent the whole. 

Abbreviations 

An abbreviation is the
shortened form of a word or phrase. Most abbreviations are formed from a letter
or group of letters taken from the original word. In an academic paper, abbreviations are rarely used to stand in for major concepts or terms. Instead, they are
usually shortened forms of commonly used but relatively minor words, such as
“km” for “kilometer” or “Dr.” for “doctor.”
Most are common enough that a writer does not need to provide the reader with
an expanded definition. If an abbreviation is not particularly well-known,
consider whether you should use it or use the longer (but easier to understand)
word.

Style Conventions for Abbreviations

Style guides may differ
somewhat on how to punctuate abbreviations. Listed below are the most common
guidelines, which cover most of the scenarios for using abbreviations. However,
this is not a completely comprehensive list. If told to use a specific style
manual, such as MLA or Turabian, be sure to check what it says about specific
usage rules. And whatever style you decide to use, remember to be consistent
with how you use and punctuate abbreviations.

Abbreviations should be
capitalized just like their expanded forms would be. If the original word or
phrase is capitalized, then you should capitalize the abbreviation. If the
original is lower case, then the abbreviation should be too. Abbreviations
usually end with a period, particularly if they were formed by dropping the end
of a word (the major exception being the use of acronyms). When a sentence ends
with an abbreviation, use only one period for both the abbreviation and the
sentence.

• She lives in N.Y.
  (New York is abbreviated as “N.Y.” In this example, it comes at the end of the
  sentence but there is only one period.)

• He got a ticket for going 70 mph when the speed limit was 55. (Miles
  per hour is abbreviated “mph.” Note that it is not capitalized.)

• The CIA is depicted in many action movies as highly secretive. (CIA
  is always capitalized because Central Intelligence Agency is always
  capitalized.)

Acronyms

Acronyms are abbreviations
that form another word. Laser is so frequently used as a word that
few people know it is an acronym. Laser stands for “light amplification by stimulated
emission of radiation.” Scuba is also an acronym standing for “self-contained underwater breathing apparatus.” Although
this was the foundation for acronyms, they do not always form another word.
More often than not, acronyms are formed from the initial components of a
series of words. These components are usually individual letters, but some may
use the first syllables of words. The main purpose of acronyms is to act as
shorthand for longer terms, particularly those a writer wants to reference
frequently. In the right circumstances, acronyms can make these terms more
manageable for the writer to use and for the reader to understand.

Using Acronyms in Academic Writing

While acronyms can be very
useful, only some of them are considered appropriate for use in scholarly
writing. In general, acronyms can be used to stand in for job titles (such as
CEO), statistical categories (such as RBI) or the names of companies and
organizations (such as FBI). Other instances may arise depending on the type of
paper you are writing—a scientific essay, for example, might have acronyms
for the names of chemical compounds or scientific terms. In most cases, you
will be able to judge whether or not an acronym is appropriate based on the
context of what you are writing. The only category of acronym that you should
never use is slang, especially terms derived from texting. Phrases like
“lol” and “brb” may be fine in casual conversation, but
would make a writer seem unprofessional in a serious paper. For all acronyms
you choose to use, making sure that the reader knows what they mean is
essential. The first time you use any acronym, make sure to use its expanded
form first. For example:

• Johnathan
  recently joined the American Association of Retired Persons (AARP).

• Mothers Against Drunk Driving (MADD) is known
  for fighting for the National Minimum Drinking Age Act.

• The Family Research Council (FRC) was founded
  in 1981.  

Once the abbreviation has been identified, as
shown in these examples, you can use the abbreviated version in the rest of your
document.  

Style Conventions for Acronyms

Most acronyms are written
in all-uppercase with no punctuation between letters. This differs from
abbreviations, which are normally written with periods in order to note the
deleted parts of words. A small number of acronyms use slashes to show an ellipsis, as in “w/o” for “without.” Spaces are not used
between the different letters of acronyms. Apostrophes are generally not used
to pluralize abbreviations. They are, however, used to form possessives.

5.6.4: Numbers

Sometimes it is appropriate to write numbers as numerals; other times they should be spelled out.

Learning Objective

List the rules for using numbers in different kinds of writing

Key Points

• In academic writing, numbers that can be expressed in one or two words should be spelled out.
• Numbers that are more than two words long should be written as numerals.
• The proper usage of numbers in technical writing varies considerably.

Key Term

numeral

A symbol that is not a word and represents a number, such as the Arabic numerals 1, 2, 3 and the Roman numerals I, V, X, L.

Style rules for inserting numbers into text vary considerably. Whether numbers should be written out (e.g. two, two hundred) or written as numerals (e.g. 2, 200) depends on what kind of writing is being done.

Numbers as Words

In strictly academic writing, numbers of one or two words should be spelled out with letters. For example: 

• Anthony was able to bike five miles in less than an hour. 

Notice that 5 is written out as “five” because it is one word. 

• Maria bought five bananas, two bunches of grapes, and six oranges for her fruit salad. She needed twenty-one servings for the luncheon.

Notice that each number is written out, including 21, because all of them are one or two words.

Numbers as Numerals

Numbers that are more than two words long should be written as numerals. For example: “Our vacation to North Carolina ended up being 728 miles, as a round trip.” Or, in the case of years: “Tony was born in the fall of 1966.”

Also, the following numbers are written as numerals:

• Dates: December 7, 1941, 32 BC, AD 1066
• Addresses: 119 Lakewood Lane, 1600 Pennsylvania Avenue
• Percentages: 45 percent or 45%
• Fractions and decimals: 1/3 and 0.25
• Scores: 20 to 13 or 15–18
• Statistics: average age 25
• Surveys: 2 out of 5
• Exact amounts of money: $861.34 or $0.67
• Divisions of books: volume 6 or chapter 5
• Divisions of plays: act 2, scene 4
• Time of day: 12:00 AM or 4:35 PM

Technical Writing

In technical writing (i.e., research writing or other writing that includes measurements or statistics), the proper usage of numbers varies substantially. Typical rules to follow in technical writing include:

• Technical quantities of any amount are expressed in numerals (3 feet, 12 grams, et cetera).
• Nontechnical quantities of fewer than 10 are expressed in words (three people, six whales).
• Nontechnical quantities of 10 or more are expressed in numerals (300 people, 12 whales).
• Approximations are written out as letters (approximately ten thousand people).
• Decimals are expressed in numerals (3.14).
• Decimals of less than one are usually preceded by zero (0.146); however, this may vary depending on the style you are asked to write in.
• Fractions are written out, unless they are linked to technical units (two-thirds of the members, 3 1/2 hp).
• Page numbers and the titles of figures and tables are expressed in numerals.
• Back-to-back numbers are written using both words and numerals (six 3-inch screws).

Special Cases

There are many special cases for writing numbers. A number at the beginning of a sentence should be spelled out as words. Within a sentence, the same unit of measurement should be expressed consistently in either numerals or words. In general, months should not be expressed in terms of numbers.

Numbers in the news

When numbers are used in text, many basic formatting rules apply.

5.6.5: Italics

Writers use italics to emphasise certain words such as titles, scientific words, and foreign words. 

Learning Objective

Identify situations in which italics should be used

Key Points

• Italics are a typeface feature designed to make words stand out. There are general rules to using italics properly. 
• Titles of textbooks, fiction or nonfiction books, newspapers, magazines, academic journals, films, epic poems, plays, operas, musical albums, television shows, movies, works of art, and the names of legal cases should all be italicized.
• Italics can also be used to emphasize certain words.
• Italics should always be used with scientific terms, algebraic equations, and foreign-language words. 

Key Term

italics

A typeface style that is used to add emphasis to words. 

Italics are letters that slant slightly to the right. When using a word processor (like Microsoft Word) italicized words generally look like this: 

This sentence is in italics. 

Italics should be used consistently in your writing. In general, italics are used to identify the title of a major publication (such as a book, newspaper, or magazine), for emphasis, for scientific or technical words, and for foreign words. 

Titles

The titles of major literary works should be italicized. This includes textbooks, fiction or nonfiction books, newspapers, magazines, academic journals, films, epic poems, plays, operas, musical albums, television shows, movies, works of art, and the names of legal cases. 

• My favorite book is July’s People by Nadine Gordimer. 
• I read The New York Times to keep up with the political debates. 
• I have every Taylor Swift album except Today Was a Fairytale. 
• The 1976 version of the movie Carrie was much scarier than the newer version. 
• Homer’s The Iliad and The Odyssey are my two favorite epic poems. 
• The Scream by Edvard Munch is a well-known painting.

Keep in mind that smaller published works, such as an individual article from a newspaper/magazine/journal, or a single poem, should be set in quotation marks. For example: 

• The magazine Southern Living published an interesting article on traveling in the U.S. called “The South’s Best Roadside Attractions” in the November, 2015 edition. 

Emphasis

When you need to emphasize
a word you can use italics to make it stand out. Sometimes, emphasizing certain words gives the sentence a sarcastic tone. It
can also emphasize a fact as true. Let’s review some examples. 

• She
  only wants to make 100% on every test. 

• If
  they are offended, then that’s their
  problem.

• These
  are the files we need. 

Scientific or Technical Terms

Italics are often used in
scientific and mathematical writing. Algebraic equations are usually
italicized. The scientific (Latin) names of species are also italicized. Here are
some examples. 

• Slope
  is found by calculating y=mx+b.

• Several
  more Homo sapiens fossils were discovered
  recently.

• The
  scientific name for the house sparrow is Passer
  domesticus. 

Foreign Languages

Words in foreign languages should also be italicized. Here are a couple of
examples. 

• In an interview, Julia Alvarez once said, “What I can’t push
  as successfully out of sight are my own immigrant childhood fears of having a
  gringa stepmother with foreign tastes in our house.”
• I was at the coffee shop when a man approached me and said, “Como
  esta?” like he knew me, but I don’t speak Spanish. 

The only exceptions are words that have been integrated into English
like cliché, patio, and karate. Otherwise, foreign words
should be italicized. 

Bubo scandiacus

The species name is italicized because species names are in Latin. 

4.1: Introduction to English Grammar and Mechanics

4.1.1: Components of a Sentence

Learning Objective

Recognize a complete sentence by identifying its subject and predicate

Key Points

• Within a sentence, the subject is the noun (or pronoun) that performs the action.
• Within a sentence, the predicate is the verb or verb phrase that tells what action is being performed by the subject.
• Within a sentence, the direct object is the person or object upon which the subject is acting.
• Within a sentence, the indirect object answers the question “to whom/what?” or “for whom/what?”
• A modifier gives more information about a sentence element.
• A phrase is a group of words that does not contain both a subject and a verb.
• Sentences are made up of clauses. A clause contains at least a subject and a finite verb.

Key Terms

complement

A word, phrase, or clause that is necessary to complete the meaning of a given expression.

phrase

A group of words that cannot stand on its own because it does not have both a subject and a verb.

fragment

An incomplete sentence, lacking a subject or a predicate.

subject

In a clause, the word or word group (usually a noun phrase) that represents a person, place or thing. In active clauses with verbs denoting an action, the subject and the actor are usually the same.

predicate

The part of the sentence (or clause) that states something about the subject or the object of the sentence.

sentence fragment

An incomplete sentence; a phrase or clause that is punctuated and capitalized as a sentence but does not constitute a complete grammatical sentence. It is usually caused either by the failure to include a subject and a verb in a sentence or by beginning a sentence with a subordinate conjunction or relative pronoun.

simple predicate

The verb or verb phrase of a sentence.

object

The noun or pronoun which is being acted upon, or at which the action is directed. There are two types: direct and indirect.

modifier

A word, phrase, or clause that limits or qualifies the sense of another word or phrase.

clause

Typically contains at least a subject noun phrase and a finite verb. The two main categories are independent and subordinate (or dependent).

Complete Sentences

In order to successfully craft
sentences, one must first understand the core elements of complete English sentences: subjects,
objects, predicates, and modifiers. The most important of these are subjects and predicates: in order for a sentence to be “complete,” it must contain an action and someone (or something) doing it. The action is the predicate, and the person (or thing) doing it is the subject.

An incomplete sentence is called a fragment. Compare and contrast the sentences below:

1. I like pizza. Because it tastes delicious.
2. I like pizza because it tastes delicious.

Of the two examples above, the first contains a fragment: “Because it tastes delicious” is a fragment, or an incomplete thought. It has an “action” (tasting delicious) but no subject. 

The second example is correct; it has all the necessary components of a full sentence—a subject and a predicate.

It is important to understand that there are
many gray areas of definition and usage when it comes to English-language
sentence construction.
For the purposes of understanding, we will start with basic ideas and simple examples. When you have a strong grasp of these, you will feel more able to handle the gray areas.

Subjects

The subject of a sentence is a noun or
pronoun (and its article, if it has one). In active-voice sentences, it is the noun or pronoun performing the
action in the sentence. See
the italicized subjects in the examples below:

1. The boy crossed the street.

2. She works in the city.
3. Mark is a good athlete.

In example 1, the subject, “the boy,” is both a noun and its article. In example 2, the subject is a pronoun. In example 3, the subject is a noun (no article).

Predicates

The predicate explains the action of the sentence. The simple predicate refers to just the verb or verb phrase, linked to the subject, which tells what action is being
performed by that subject. In the examples above, “crossed,” “works,” and “is”
are all simple predicates.

There are more complex definitions of “predicate.” Sometimes “predicate” can simply mean “everything except the subject.” But just remember: the simple predicate is the action (verb or verb phrase) of a sentence.

In the examples below, the predicates
are italicized:

• The house is green. 

• She seems angry.

• The burden became excessive.

Objects

The object of a sentence is the noun or
pronoun which is being acted upon, or at which the action is directed. There
are two types of objects: direct objects and indirect objects. 

Direct Object

The direct object is the object which
is being acted upon in the sentence. See the italicized direct objects in the
examples below:

• Johnny
  throws the ball.

• Jill
  cuts the cake.

• Bill
  rides the bike. 

Indirect
Object

The
indirect object answers the questions “to whom/what?”or “for whom/what?” in a
sentence. It is not acted upon. See the
italicized indirect objects in the examples below:

• Johnny
  throws the ball to me.

• Jill
  cuts the cake for her friends.

• Bill
  rides the bike to school.

No Object

Some sentences do not need an object and consist of only a
subject and a verb predicate. For example:

• Mary smiled.
• Fred sneezed.

This can happen because some verbs (like the ones above) don’t require an object. When a verb doesn’t need an object, it is called an intransitive verb. (We’ll talk more about this later.)

Modifiers

A modifier is a phrase in a sentence
that provides additional information about an element within that sentence.
There are three basic kinds of modifying constructions:

• Single-word modifiers (adjectives and
  adverbs): It was a nice house.
• Modifying phrases (e.g., prepositional,
  participial, infinitive, and appositive phrases): Barry
  Goldwater, the junior senator from
  Arizona, received the Republican nomination in 1964. (appositive phrase)

• Modifying clauses (a clause is any
  group of words with its own subject and predicate): The only one of the seven dwarfs who does not have a beard is Dopey. (adjective clause)

Compound Elements

In a given sentence, there may be more than
one of any of the four core sentence elements. Compound elements can include:

• Compound subject: Mary and Tom went to
  the dance.

• Compound predicate: He ran to the house
  and knocked on the door.

• Compound modifier: He rode a small white pony.

Phrases

A phrase is a collection of words that may have nouns or verbals, but it does not have a subject doing a verb. The following are examples of phrases:

• leaving behind the dog
• smashing into a fence
• before the first test
• after the devastation
• between ignorance and intelligence
• broken into thousands of pieces
• because of her glittering smile

In these examples, you will find nouns (dog, fence, test, devastation, ignorance, intelligence, thousands, pieces). You also have some verbals (leaving, smashing), but in no case is the noun functioning as a subject doing a predicate verb. They are all phrases.

Clauses

A clause is a collection of words that has a subject that is actively doing a verb. The following are examples of clauses:

• since she laughs at men
• I despise individuals of low character
• when the saints go marching in
• because she smiled at him

Note that in the examples above, we find either a noun or a pronoun that is a subject (italicized) attached to a verb phrase (also italicized).

Independent and Dependent Clauses

If the clause could stand by itself—that is, form a complete sentence with punctuation—we call it an independent clause. The following are independent clauses:

• I despise individuals of low character
• Helen loves Canadian geese

We could easily turn independent clauses into complete sentences by adding appropriate punctuation marks. We might say, “I despise individuals of low character.” Or we might write, “Helen loves Canadian geese!” We call them independent because these types of clauses can stand by themselves, without any extra words attached, and be complete sentences.

By contrast, dependent (also called subordinating) clauses cannot stand on their own. The following are dependent clauses:

• when the saints go marching in
• because she smiled at him

Sentence diagram 1

This diagram shows some of the component parts of a sentence, and demonstrates how they relate to each other.

4.1.2: Structure of a Sentence

Learning Objective

Classify sentences based on sentence structure and purpose

Key Points

• To create a strong sentence, begin with a specific subject and a strong verb.
• Sentences can be classified by their structure or by their purpose.
• Structural classifications for sentences include: simple sentences, compound sentences, complex sentences, and compound-complex sentences.
• Particular connectors are used to impart particular meanings in compound and complex sentences.
• Classification categories for sentences by purpose include declarations, interrogatives, exclamations, and imperatives.
• In the revision stage of writing, it’s useful to go over the paper with an eye toward the appropriateness and variety of sentence construction.

Key Terms

imperative sentence

A statement that tells the reader, in the form of a request, suggestion, or demand, to do something.

exclamatory sentence

An emphatic form of statement that expresses emotion.

declarative sentence

A statement or declaration about something.

compound-complex sentence

Multiple independent clauses, at least one of which has at least one subordinate clause.

complex sentence

At least one independent clause and one subordinate clause.

simple sentences

A single independent clause with no subordinate clauses.

compound sentence

Multiple independent clauses with no subordinate clauses.

interrogative sentence

Also called a question, it is commonly used to request information.

Like an architect can create walls, bridges, arches, and roads with the same bricks, you can create sentences that serve varying functions using the building blocks of words. Just as an architect plans different features in an edifice to create a strong and beautiful building, a writer must use a variety of sentence structures to capture readers’ interest. And like a builder must begin with a solid foundation, your sentences need to begin with clear, strong words. The more practice you have putting sentences together, the more interesting your writing will become.

First, let’s work on clarity through specificity. “Le bon mot,” or “the right word,” is key, and it begins with nouns and verbs.

Subjects and Verbs

Despite contrary trends in the popular press, formal writing still requires of a sentence both a subject and a verb. Getting those two things right will put you well on the way to writing well.

• Jesus wept.
• The schooner capsized.
• She died.
• They won.
• Paris seduces.
• It is.
• These are all sentences.  

You already know that you need a subject and a verb to create a sentence. What you may not know is that these are the two most important parts of a sentence to get right. The more specific the noun, the more your reader will be able to picture what it is you’re talking about (“schooner” is more specific than “boat,” “Paris” more specific than “France”). Pronouns work well when the antecedent is clear. While repeating a noun can get ponderous, unidentifiable pronouns confuse the reader.

Verbs, too, captivate when they’re exact. Adjectives and adverbs, it’s said, were invented for those who don’t know enough verbs. Take the sentence “Paris seduces,” for example. You could just as easily say, “Paris is seductive,” but the use of the verb “to be” makes the sentence less active and alive.

From this solid base, you can begin adding your objects and clauses to create more complex sentences.

Classifying Sentences by Structure

Sentences can be classified by their structure or by their purpose. You’ll want to keep both in mind as you write.

Structural classifications for sentences include simple sentences, compound sentences, complex sentences, and compound-complex sentences.

You’ll want to have a mix of sentence types in almost anything you write, as varying length and complexity keeps the reader’s attention. The sing-song nature of same-length sentences seems to trigger a lullaby response in our brains, and our eyes can’t help but droop. In addition to the rhythm of it, though, you’ll communicate more substance with varying sentence lengths.

Simple Sentences

A simple sentence consists of a single independent clause with no subordinate clauses. For example:

• I love chocolate cake with rainbow sprinkles.
• “Without love, life would be empty.” This sentence contains a subject (life), a verb (would be) and two types of modifiers (without love and empty).

Simple sentences are often used to introduce a topic or present a new thought in an argument—for example, “Juries are charged with rendering impartial verdicts,” or “Income taxes are high in Scandinavian countries.” You may notice that with both these examples, the reader is likely to start formulating objections or opinions about the topic right away. As a writer, you can use simple sentences in this way. Writing a simple sentence to begin a paragraph can have the reader making your argument for you before you’ve even begun to state your point. 

Compound Sentences

A compound sentence consists of multiple independent clauses with no subordinate clauses. These clauses are joined together using conjunctions, punctuation, or both. For example:

• I love chocolate cake with rainbow sprinkles, and I eat it all the time for breakfast.
• Together we stand; united we fall.

You can feel the power of that second example. Using a semicolon without a conjunction adds drama to a compound sentence, especially when you’re comparing two concepts and the independent clauses are of approximately equal length.

Compound sentences connected with “and” make connections between ideas. The sentence, “It’s clear that we do have the means to end poverty worldwide, and every moment we hesitate means one more child dies of hunger,” exposes the connection between having the means to end poverty and the consequences of not employing those means.  

Using “but” takes exception with the first clause: “Eileen treats her boyfriend like a servant, but he isn’t going to stand for that for long.”

You can use a semicolon to show a relationship between clauses: “Bats are nocturnal; they are active only at night.”

“However,” “nonetheless,” and “still” are often used as qualifiers between independent clauses. For example, “There were no luxuries like pillows in the convent; however, some residents did find ways to create comfort.”

You can show causation using “therefore” and “thus,”—for example, “The countries that are least committed to reducing fossil fuel use are the largest; therefore, we are unlikely to stave the crisis.

You can show emphasis using connectors like, “moreover,” and “furthermore.” “Hilda has not done her chores in a week; moreover, she has been eating twice her share at dinner.”

Complex Sentences

A complex sentence consists of at least one independent clause and one subordinate clause. For example:

• “While I love him dearly, I will get rid of my pterodactyl for the sake of the community.”
• “Those who eat chocolate cake will be happy.” In this case, the subordinate clause, “who eat chocolate cake” is in the middle of the sentence.
• “If-then” sentences are complex sentences: “If Americans don’t change their dietary habits, the medical system will soon be bankrupt.” (Notice that the “then” is implied.)

Other connectors for complex sentences include “because,” “although,” “so that,” “since.” 

• “I have had strong convictions since I was old enough to reason.”

Compound-Complex Sentences

A compound-complex sentence (or complex-compound sentence) consists of multiple independent clauses, at least one of which has at least one subordinate clause. For example:

• “I love my pet pterodactyl, but since he’s been eating neighborhood cats, I will donate him to the city zoo.” Here, the subordinate clause is, “since he’s been eating neighborhood cats.”
• “Tell me what you eat, and I will tell you what you are.” This sentence contains two independent clauses (one before and one after the comma), and each independent clause contains a subordinate clause (“what you eat” and “what you are”).

There are countless variations of compound-complex sentences, and while they can be complicated, they are often necessary in order to make complete connections between ideas. Don’t make the mistake, though, of using them unnecessarily. Break thoughts into new sentences when you can. When you do use one, try to insert a simple sentence after it. Your reader may need a rest.

Selecting Sentence Construction

• North Americans eat a lot of fast food. They also have a high rate of disease.
• North Americans eat a lot of fast food, and they have a high rate of disease.
• If North Americans continue to eat a lot of fast food, they will continue to have a high rate of disease.
• If North Americans, who eat a lot of fast food, continue to do so, they will likely continue to have a high rate of disease, as proper nutrition is vital to immune function.

In looking at the various sentence forms above, you can see that each sentence gives you a different feel. Can you see how each might be appropriate in different contexts? The simple sentences might work in an introduction to begin to draw the parallel. The compound sentence makes the connection clear. The complex sentence sounds more like a lesson in its “if-then” format, and the compound-complex sentence packs all the information into one conclusive sentence. Which of these sounds most convincing as an argument? Which allows you to draw your own conclusion?  

Classifying Sentences by Purpose

English sentences can also be classified based on their purpose: declarations, interrogatives, exclamations, and imperatives. When you’re composing a paper, you’ll want to clarify the purpose of your sentences to be sure you’re selecting the appropriate form.

Declarations

A declarative sentence, or declaration, is the most common type of sentence. It makes a statement. For example:

• “Most Americans must work to survive.”
• “I love watching the parrots migrate.”

Because you’ll be relying on statements most of the time, you’ll want to vary the structure of your declarative sentences, using the forms above, to be sure your paragraphs don’t feel plodding. One declaration after the next can lull the reader into complacency (or, worse, sleep).

Interrogatives

An interrogative sentence, or question, is commonly used to request information. For example:

• “Do you know what it’s like to have to go to work to be able to eat?”
• “Why has the sky suddenly turned green?”

While you don’t want to overuse the interrogative in an essay, it does serve to wake the reader up a bit. You’re asking the reader to find the answer within him- or herself, rather than simply digesting fact after fact. Helping the reader formulate questions about the topic early can engage readers by accessing their curiosity. 

Exclamations

An exclamatory sentence, or exclamation, is a more emphatic form of statement that expresses emotion. For example:

• I have to go to work!
• Get away from me!

“Show some restraint!” is the general guideline for using exclamations in a paper. And yet, there are times when it won’t seem amateurish or overly hard-hitting. When you’re exposing a contradiction in your opposition’s views, for example, or an inconsistency between views and behaviors, you can signal the importance of this diversion with an exclamation. Recognize, though, that using exclamations only sparingly will bolster your credibility. Like the boy who cried wolf, if you get a reputation for yelling all the time, people will begin to ignore you, even when it really matters.

Imperatives

An imperative sentence tells someone to do something (and may be considered both imperative and exclamatory). This may be in the form of a request, a suggestion, or a demand, and the intended audience is the reader.

• Go to work.
• Trust me!

Imperatives can be effective in making an argument. You can introduce evidence with an imperative (e.g., “Consider the current immigrant crisis in Europe”). You can use an imperative to transition from a counter-argument: “Don’t be fooled by this faulty logic.” You might include an imperative in your conclusion, if you’re including a call to action: “Act now to end human trafficking.” 

Checking for Appropriate Sentence Structure and Purpose

In the revision stage of writing, make sure to make a pass over the paper with an eye toward sentence construction. Are there too many interrogatives or exclamations? Does the prose sound convoluted because I use too many compound-complex sentences? Do I sound condescending because I’m using too many simple sentences? Do the connectors I’m using fit with this particular sentence?

Enjoy constructing your argument using the forms sentences can take. Designing a paper using your skill with sentence structure can feel thoroughly satisfying.

4.1.3: Introduction to Inflection

Learning Objective

Define grammatical inflection

Key Points

• In English grammar, “inflection” refers to changing a word to suit its grammatical context (e.g., making a noun plural when you’re talking about more than one, making a verb past tense when you’re talking about something that has already happened).
• In English, there are many rules that tell you how to change words to suit context, but there are also quite a few exceptions that you’ll just have to memorize.
• Pronouns and nouns change form depending on whether they are the subject (i.e., the actor) or the direct or indirect object (i.e., the thing being acted upon) of a sentence.

Key Terms

conjugation

The creation of derived forms of a verb from its principal parts by inflection.

declension

The inflection of nouns, pronouns, articles, and adjectives.

inflection

In the grammatical sense, modifying a word, usually by adding letters, to create a different form of that word.

In English grammar, “inflection” is the broad umbrella term for changing a word to suit its grammatical context. You’ve probably never heard this word before, but you actually do it all the time without even thinking about it. For example, you know to say “Call me tomorrow” instead of “Call I tomorrow”; you’ve changed the noun “I” to fit the context (i.e., so it can be used as a direct object instead of a subject).

A word you might have heard before, especially if you’ve taken a foreign language like Spanish, is “conjugation.” Conjugation is the specific type of inflection that has to do with verbs. For example, you change a verb based on who is performing the verb: you would say “You call me,” but “She calls me.” Again, you know to do this automatically.

Nouns and Pronouns

We often need to change nouns based on grammatical context. For example, if you change from singular to plural (e.g., from “cat” to “cats,” or from “syllabus” to “syllabi”), you’re “inflecting” the noun. Similarly, if you’re changing the pronoun “I” to “me,” or “she” to “her,” the person you’re referring to isn’t changing, but the word you use does, because of context. “She calls I” is incorrect, as is “Her calls me”; you know to instead say “She calls me.”

Verbs

To recap, “conjugation” refers to changing a verb to suit its grammatical context. This can mean changing the verb based on who is performing the verb (e.g., “you read,” but “she reads”) or based on the time the action is occurring, also known as the verb’s “tense” (e.g., “you walk” for the present, and “you walked” for the past).

Adjectives

You also might need to change some adjectives based on the grammatical context of the rest of your sentence. For example, if you’re trying to compare how sunny today’s weather is to yesterday’s weather, you would change the adjective “sunny” to “sunnier”: “Today is sunnier than yesterday.”

Adverbs

Inflecting adverbs is very similar to how you change adjectives. For example, if you want to compare how quickly two students are learning math, you would change the adverb “easily” to “more easily”: “Huck is learning his fractions much more easily than Tom is.”

4.2: Nouns

4.2.1: Nouns as Subjects and Objects

Nouns can be either the subject or object of sentences.

Learning Objective

Identify whether a noun functions as a subject or object

Key Points

• The subject of a sentence completes the action of the sentence.
• The direct object of the sentence receives the action of the sentence.
• The indirect object of the sentence answers the question “to whom/what?” or “for whom/what?” for the action of the sentence.
• For sentences in active voice, the subject comes before the verb.
• For sentences in passive voice, the subject comes after the verb.

Key Terms

subject noun

Completes the action(s) in a sentence.

object noun

Receives the action in a sentence or answers the question “to whom/what?” or “for whom/what?”

Nouns can take on two different roles in a sentence: they can be subjects or objects. Understanding subjects and objects simply means understanding who (or what) performed an action, and who (or what) was affected by that action.

Identifying Subjects

In a sentence, the subject completes the action. The subjects are italicized in the examples below:

• Mary drew a picture for her mother. 
• Lions eat many animals, such as rabbits.

The subject does not have to be a person or animal—it can also be an inanimate object: 

• The coffee let off steam. 
• The cup is on the table. 

Note that the subject includes not just the noun, but also the article (e.g., the, a, an) that goes along with it.

Identifying Objects

An object is the recipient of an action. There are two types of object: direct and indirect. 

Direct Objects

In a sentence, the direct object receives the action of the subject. See the italicized direct objects in the examples below:

• Mary drew a picture.
• The tiger chased the bunny. 

Indirect Objects

In a sentence, the indirect object answers the question “to whom or what?” or “for whom or what?” See the italicized indirect objects in the examples below.

• Mary drew a picture for her mother.
• Bill threw the ball to his sister.

Sign

In this sign saying “Do not feed the coyotes”, are coyotes the subject, the object, or the indirect object? (Answer: They are the direct object.)

Identifying Indirect Objects without a Preposition

Sometimes direct object and indirect object cannot be identified by word order alone—and there is not always a “to” or “for” to make it clear: 

• The boy fed the dog a bone. 

To correctly identify the indirect object, ask yourself which part of the sentence would answer the question “to/for whom or what?” 

• “The boy fed a bone to the dog.” 

Phrased this way, it becomes clear that the dog is the indirect object and the bone is the direct object.

Identifying Subject and Object in
the Active Voice

If a sentence is written in the
active voice, it means that the subject comes before the verb, and the
object follows the verb. All of the examples above are written in the active
voice. 

A simple way to identify whether a
noun is a subject or an object in an active-voice sentence is to note where it
is in the sentence. If the noun precedes the verb, it is the subject. If it
follows the verb, it is the object. See the examples below:

• The alien landed the spaceship. (“The alien” is
  the subject and “the spaceship” is the direct object.) 
• Mathilda ate the sandwich. (“Mathilda” is the
  subject and “the sandwich” is the direct object.)

Identifying Subject and Object in
the Passive Voice

In passive-voice sentences, the usual rules do not apply. Rather, we need to look at word order to find the subject and object. In a passive-voice sentence, keep in mind that the order will be subject–verb phrase–object. See the following examples.

• The sandwich was eaten by Mathilda. (“The
  sandwich” is the subject and “Mathilda” is the object.)
• The spaceship was steered by the alien. (“The
  spaceship” is the subject and “the alien” is the object.)

In the passive voice, a noun coming after the word “by” is an object, while a noun coming before a form of the verb “to be” (e.g., “was”) is the subject. Note the italicized words in the examples above.

Verb Types and Objects

Not all verbs require objects. A verb that requires an object is called a transitive verb: 

• She wants cake.

Without the object “cake,” the sentence is incomplete and doesn’t make sense. What does she want? 

A verb that does not require an object is called an intransitive verb: 

• I slept. 

With an intransitive verb, the sentence is complete with the subject and verb alone.

4.3: Pronouns

4.3.1: Introduction to Pronouns

Pronouns replace nouns to reduce redundancy and link phrases together to provide more information.

Learning Objective

Identify pronouns by type

Key Points

• Pronouns take the place of nouns to reduce redundancy. The noun a pronoun replaces is known as that pronoun’s antecedent.
• It is crucial to ensure that each pronoun has a clear antecedent so the reader does not get confused.
• Relative pronouns (“who,” “whom,” “whose,” “that,” “which”) are used to link subordinate clauses to the subject they describe.
• Interrogative pronouns introduce questions of identification (“who,” “whom,” “whose,” “what,” “which”).
• Demonstrative pronouns identify specific people, places, things, or ideas (e.g., “this,” “that,” “these,” “those”).
• Indefinite pronouns refer to non-specific people or things (e.g., “anyone,” “most”).

Key Terms

subordinate clause

A clause that cannot stand alone as a sentence but that functions as a noun, adjective, or adverb in a larger sentence.

relative clause

A subordinate clause that modifies a noun.

antecedent

The noun being replaced by a pronoun.

Pronouns and Antecedents 

Pronouns can be very useful when standing in for other nouns or noun phrases. They make sentences less repetitive by eliminating the need to repeat the same nouns over and over again. However, they are only useful if the reader always knows what word the pronoun is replacing—the pronoun’s antecedent. This can partly be done through word order. Don’t separate a pronoun too far from its antecedent, and don’t use a pronoun unless its antecedent has already been established.

The different types of pronouns include the following:

• personal pronouns
• possessive pronouns
• intensive and reflexive pronouns
• relative pronouns
• interrogative pronouns
• demonstrative pronouns
• indefinite pronouns

Personal Pronouns 

Personal pronouns refer to a specific grammatical person. “Grammatical person” means either the first-person, second-person, or third-person. The first-person refers to yourself and therefore uses the pronoun “I.” The second-person pronoun is “you,” and the third-person pronouns are “he,” “she,” “it.” 

• I am going to the concert.
• You can come with me. 
• She did not get a ticket before they sold out. 

Possessive Pronouns

Possessive pronouns show ownership in relation to the pronoun. Possessive pronouns are “my,” “your,” “his,” “hers,” “its,” “ours,” “your,” and “their.” For example:

• Marvin was nervous meeting with the interviewer but shook her hand when introduced. 

Reflexive/Intensive Pronouns

Reflexive and intensive pronouns take the same form but have different uses. They include “myself,” “yourself,” “himself,” “herself,” “itself,” “ourselves,” “yourselves,” and “themselves.” Reflexive pronouns “reflect” back to the subject. You know a “-self” pronoun is reflexive if the sentence wouldn’t make sense without it. For example:

• (Reflexive) The model could see himself in the reflection of the camera lens. 

In contrast, an intensive pronouns provides extra emphasis, but the sentence would still make sense without it. For example:

• She finished the paper herself. 

Relative Pronouns

Relative pronouns link different phrases within a sentence to give more information about the people or things involved. They allow you to combine connected ideas in the same sentence rather than breaking them down into multiple ones.

Consider the difference between the following sentences:

• That man yelled at us to get off his lawn. He did not even own the property.
• The man who yelled at us to get off his lawn did not even own the property.

Both sentences communicate the same thing, but the second does a better job of connecting the two events. Similarly:

• Ruth is the store manager. She rang up my groceries. 
• Ruth is the store manager who rang up my groceries. 

As you can see, relative clauses can be useful in streamlining your writing and improving your flow. Be careful not to use too many of them at once, though; sentences that are too long may confuse your reader. Be sure to ask yourself whether the clause actually clarifies a sentence or makes it too long and complicated.

Types of Relative Pronouns

The main relative pronouns dealing with people are “who” (used to relate to people or creatures as subjects), “whom” (used to relate to people or creatures as subjects), and “whose” (used to relate to a possession of a person or creature).

• Person (subject): The girl who wore a yellow dress
• Person (object): The girl whom I complimented about her yellow dress
• Creature (subject): The cat who lived next door

The main relative pronouns dealing with things are “that” and “which.” “That” is used to relate to things (as both subjects and objects) when there is more than one thing you could be referring to:

• Thing (object): The desk that my mother bought
• Thing (subject): The desk that fell apart

These sentences imply that there are several different desks, and the additional information you provide—the desk that your mother bought, the desk that fell apart—is crucial to identify which of those several desks you’re talking about. 

Similarly, “which” is also used to relate to things (as both subjects and objects)—but its crucial difference is that it is used when there is only one thing you could be referring to. That is to say, the reader already knows exactly which item you’re referring to; you’re just telling them more detail about that item:

• Thing (object): The desk, which my mother bought
• Thing (subject): The desk, which fell apart

In these phrases, there are not several desks that the writer could be talking about; there is only one desk, period. The writer is giving the reader the information that the desk was bought by her mother, or that it fell apart—but that information isn’t necessary for identifying the thing in the first place.

It is important to note that in sentences using “which” as a relative pronoun, a comma is needed before the word “which” for the phrase to be grammatically correct.

Subordinate Clauses

Relative pronouns introduce what are called subordinate clauses. Subordinate clauses are phrases within a sentence that modify the subject of the sentence. For example, in the phrase “The girl who wore a yellow dress,” the subordinate clause “who wore a yellow dress” helps to modify the subject of “the girl.” That is to say, it helps answer the question, “which girl?” Similarly, in the phrase “The desk that fell apart,” the subordinate clause “that fell apart” helps to identify which desk the writer is talking about.

Interrogative Pronouns

Interrogative pronouns introduce questions. The main forms are “who/whom” (for people and beings), “whose” (for possessive pronouns), “what” (to introduce general questions), and “which” (for identification and comparison):

• Person or being (as subject): Who wants to go to the movies with me?
• Person or being (as object): To whom was the letter addressed?
• Possessive: Whose is that book on the table?
• General question: What time is it? What do you think of the weather today?
• Identification: Which desk are you talking about?
• Comparison: Which play do you think is better, Hamlet or King Lear?

Demonstrative Pronouns

Demonstrative pronouns point out specific people, places, things, and ideas. The main forms are “this/that” (singular) and “these/those” (plural). These pronouns can either be used for comparisons or on their own. They are also called determiners and can function as adjectives for their antecedents:

• Comparison: I would rather go to that restaurant than this one.
• Alone: I think this book is really good.

Indefinite Pronouns

Indefinite pronouns refer to non-specific people or things. Indefinite pronouns include:

• all
• both
• any
• few
• everyone
• each
• nobody
• some
• several
• neither

Choose your indefinite pronoun based on the number or amount of people or things you’re talking about. As always, remember to make sure that the antecedent is clear; avoid ambiguous sentence constructions in which pronouns could refer to multiple different words.

4.3.2: Pronouns as Subjects and Objects

Pronouns can be the subject or the object of a sentence. 

Learning Objective

Identify whether a pronoun functions as a subject or object

Key Points

• Pronouns take the place of a noun and can be personal, possessive, reflexive, or intensive. 
• Pronouns can be the subject or the object of a sentence. 
• Using the various types of pronouns appropriately in sentences will improve your writing.  

Key Terms

possessive pronoun

A word that shows ownership. 

intensive pronoun

A word that emphasizes the noun.

object pronoun

A word that is typically used as the direct or indirect object of a verb, or the object of a preposition. 

subject pronoun

A word that is used as the subject of a verb. 

reflexive pronoun

A word that refers back to the subject. 

Pronouns as Subjects and Objects

In a sentence, the subject completes the action whereas the object is the recipient of that action. Pronouns can act as both subjects and objects. 

• Example: Janice has a yellow car. She drives it every day. 
• Explanation: “She” is the subject pronoun referring to Janice and “it” is the object pronoun referring to the car.  

As long as their antecedents are clear, using pronouns as subjects and objects in your academic writing greatly simplifies your wording and communicates your ideas much more powerfully.

Personal Pronouns

Personal Subject Pronouns

Personal subject pronouns refer to the one or ones completing an action. Personal subject pronouns are I, he, she, it, we, you, they. For example:

• I am going to the mall. 
• You can go to the game. 

Both “I” and “you” are pronouns. In these examples they are subject pronouns because they are completing an action. 

Personal Object Pronouns

Personal object pronouns refer to one or ones who receive the action. Personal object pronouns are me, you, him, her, it, us, them. For example:

• Jane is coming with me.
• I’m giving him the car tonight. 

In these examples, “me” and “him” are receiving the action of the verb. Therefore, they are object pronouns. 

Possessives

Possessive Pronouns

Possessive pronouns show ownership in relation to the pronoun. Possessive pronouns are mine, yours, his, hers, it, ours, yours, and theirs. For example:

• The house on the corner is his. 

Possessive Adjectives

Possessive adjectives show ownership. Possessive adjectives are my, your, his, her, its, our, and their. For example, when paired with the noun school in a sentence, his becomes a possessive adjective.

• His school is a few miles away. 

Intensive/Reflexive

Reflexive pronouns refer back to, or “reflect” (hence the name), the subject. Intensive pronouns emphasize the noun. Intensive and reflexive pronouns are myself, yourself, himself, herself, itself, ourselves, yourselves, and themselves. 

• Intensive example: I did it myself. 

“Myself” emphasizes “I” and is therefore an intensive pronoun. Also, if “myself” were removed, the meaning of the sentence would not change. 

• Jane bought herself a car. 

“Herself” is the reflexive pronoun because it “reflects” back to the subject: Jane.

Other categories of pronouns do not have forms for every single category on the lists above. Their forms are determined primarily by their grammatical function or antecedent rather than by person. Some do have forms that depend on number.

4.4: Verbs

4.4.1: Introduction to Verbs: Tense, Aspect, and Mood

Verbs are crucial to expressing a sentence’s meaning, so it is important to use them correctly. 

Learning Objective

Identify transitive, intransitive, and linking verbs

Key Points

• Every sentence needs a verb. Verbs express action, describe an event, or establish a state of being. 
• Verbs are influenced by tense, aspect, and mood. 
• “Verb tense” refers to when the action occurred. The most common tenses are past, present, or future.
• “Verb aspect” refers to the flow of time. Aspect addresses whether or not the action takes place in a single block of time or if the action is continuous or repeated.
• “Verb mood” refers to the “attitude” of the action. Is the verb actually happening, possibly happening, or being commanded to happen? 

Key Terms

verb

A word that expresses an action, describes an occurrence, or establishes a state of being. 

direct object

A word that answers the question, “What is being acted upon?” In “Danielle ate fruit,” fruit is a direct object of the verb ate.

aspect

Describes the action’s degree of progress or completion. The three main aspects are indefinite, progressive, and perfect.

tense

Any of the forms of a verb that distinguish when an action or state of being occurs or exists. The three simple tenses are past, present, and future.

A verb is a word that expresses an action, describes an occurrence, or establishes a state of being. Every sentence needs at least one verb, which is paired with the subject. All verbs have tense, aspect, and mood, of which there is a wide variety of combinations. These concepts are part of the foundation of accurately expressing your thoughts in writing.

Verb Tense 

Tense indicates when the action expressed by a verb takes place. The three simple tenses are past, present, and future.

Different tenses take different verb forms, either by changing the word itself or by adding helping verbs. There is no single formula for how to change verb tenses. Here are a few examples:

Present Tense

Present tense expresses unchanging actions and states of being. It is also used with recurring actions and with universal or widespread truths.

• I walk
• She runs

Past Tense

Past tense is used for actions that started and finished in the past.

• I walked
• She ran

Future Tense

Future tense expresses an action or event that will take place in the future.

• I will walk
• She will run

Verbal Aspect

“Verbal aspect” refers to the timing of the verb. More specifically, it addresses whether the action occurs in a single block of time, continuously, or repetitively. All verbs have both tense and aspect. Verbal aspect consists of simple, progressive, perfect, or perfect progressive, where each refers to a different fabric of time. 

Simple

The simple aspect is used to express a single action, a repeated action, or a permanent state. 

• Permanent state: David lives in Raleigh, North Carolina. 
• Repeated or habitual action: He runs every morning. 
• Single action: He graduated from the University of North Carolina. 

Progressive

The progressive aspect is used to talk about continuous events.

• Dr. Jones was lecturing about grammar. 
• Jane is reading a novel. 

Perfect 

The perfect aspect is used to discuss completed actions. It is often formed by the verb have combined with a past tense verb. 

• My family had left before the flooding reached our home. 
• She has visited their mountain home. 

Perfect Progressive

The perfect progressive combines the perfect and the progressive to refer to the completed portion of a continuous action. 

• The news crew had been working for more than twelve hours to provide full coverage of the event. 
• I will have been sleeping for many hours by then.

Verbal Mood

Verb mood is to the “attitude” of the verb. More specifically, “mood” refers to the degree of necessity, obligation, or probability. Is it a statement of fact? Is it a command?

Mood can be expressed in any verb tense. The three main moods used in English are indicative, subjunctive, imperative. 

Indicative

The indicative mood is used for factual statements.

• Sally is drinking coffee.
• Sally drinks coffee.
• Sally drank coffee. 

Subjunctive

The subjunctive mood is for hypothetical situations, emotions, or making requests. It is often (but not always) paired with a clause containing would, should, or could, or an if-then statement.

• If I were a pilot, I would fly through the clouds.
• The carousel closed. I wish it were still in use. 

Imperative

The imperative mood is used to give commands. 

• Go finish your homework. 
• Please hang your coat. 
• Don’t eat a snack now or  you’ll ruin your supper. 

Special Types of Verbs

Linking Verbs

Linking verbs are used to connect subjects with their complements. They may be the main verb in a sentence, even if they express a description rather than an action. The most common linking verb is to be, which takes many different forms:

• This tea is hot.
• There are many books in his library.

Other common linking verbs include the following:

• appear
• become
• seem
• taste
• continue
• remain

Linking verbs take no direct objects. Consequently, if a sentence’s main verb is a linking verb, it cannot be written in the passive voice.

Transitive Verbs

Transitive verbs describe actions that are done to a specific thing, called the verb’s direct object.

• She cut her hair. (Subject: She. Transitive verb: cut. Direct object: her hair.)
• Romeo kissed Juliet. (Subject: Romeo. Verb: kissed. Object: Juliet.)

All of the verbs are performed by the subject, to something or someone else.

Intransitive Verbs

Intransitive verbs are actions that are complete on their own, and do not require any object:

• Sally ran fast.
• The bird flew.

Most verbs can be classified as transitive or intransitive, depending on their context. Just remember, if your verb has an object, make sure it’s clear to the reader: Don’t say “Sally kissed her” if you don’t know who “her” is! 

He walked the wire

The verb tense in the title signals that this action took place in the past. It is not only important to have subject and verb agreement, but also to utilize the correct verb tense to ensure that a sentence contains its intended meaning.

4.4.2: Verb Tense: Past, Present, and Future

Verb tense indicates whether the action of a sentence occurred in the past, present, or future.

Learning Objective

Identify the tense of a verb

Key Points

• In English, the three basic verb tenses are past, present, and future.
• Verbs in past tense express what happened in the past.
• Verbs in present tense express actions that are currently happening, or occur over a period of time that includes the present.
• Verbs in future tense express actions that will happen in the future.
• All verbs have both tense and aspect. Because there are three verb tenses and four verb aspects, there are twelve possible combinations of tense and aspect.

Key Terms

tense

Any of the forms of a verb that distinguish when an action or state of being occurs or exists. The three simple tenses are past, present, and future.

verb

A word that indicates an action, event, or state.

aspect

A grammatical category that expresses how a verb relates to the flow of time. 

Verb Tenses

The verb contains the action of the sentence. Without verbs, we couldn’t talk about running, or jumping, or eating. And without verb tenses, we couldn’t talk about when we did those things. Did we eat dinner yesterday? Will we go for a run tomorrow? We need verb tenses to talk about time.

Present Tenses

The present tense refers to circumstances that exist now, or that have occurred over a period of time that includes the present. Present tense can also be used to express basic facts or circumstances that are continuous. 

Simple Present

The simple present expresses current events, recurring events, and general facts.

• There is a shady park down the block.
• I paint a portrait of my cat every week.
• Mary hears a noise in the attic.

The verbs is, paint, and hears are in the simple present tense. They refer to actions that are occurring in the present.

Present Progressive 

The present progressive expresses continuous actions.

• I am reading a letter.
• The car is running at high speed.
• Michael and Anna are always working in the library.

To show that the action is continuous the verbs reading, running, and working are paired with the appropriate form of the verb to be (am, is, are). 

Present Perfect

The present perfect expresses a completed event that is still relevant to the present.

• I have read several of Shaw’s novels.
• She has seen him every Saturday this month.
• Jed has sampled six ice cream flavors so far.

In these examples, have and has are paired with read, seen, and sampled to show readers that these actions began in the past and are still occurring in the present. 

Present Perfect Progressive

Finally, the present perfect progressive expresses a continuous action that began in the past and continues into the present.

• I have been standing on this corner for six hours.
• She has been dreaming of becoming an actress since she was ten.
• Even though it’s raining, that Girl Scout has been selling cookies all day.

The present perfect progressive tense combines have/has with been and the verb to show that the action began in the past and is still occurring in the present. 

Past Tenses

The past tense refers to events that have occurred in the past or an event that occurred continually in the past. It can also be used when discussing hypothetical situations. The types of past tense are simple past, past progressive, past perfect, and the past perfect progressive.  

Simple Past

First, the simple past expresses a past event:

• Last week, I read several of Shaw’s novels.
• The mother took her son to the beach every day last summer.
• The book sat on the shelf, collecting dust.

The verbs read, took, and sat are in the past tense to show these actions have already occurred. 

Past Progressive

The past progressive expresses a continuous action in the past:

• She was giving a presentation when the microphone broke.
• The computer was downloading the file for 20 minutes.
• During their first year, the puppies were growing at an alarming rate.

In the past progressive tense, the primary action verbs (in this case giving, downloading, and growing) are paired with the past tense of the verb to be (was/were) to show that the action occurred continually in the past. 

Past Perfect

The past perfect expresses a completed action from the past.

• I had already seen him that morning.
• As soon as my car had been repaired, I continued my trip.
• The power had gone out by then.

This verb tense uses had, paired with a verb, to show that the verb is a completed action.

Past Perfect Progressive

The past perfect progressive expresses a continuous, completed action that had taken place in the past.

• I had been listening to the radio when she dropped in.
• The car had been running smoothly until the exhaust pipe fell off.
• She realized she had been standing on his foot when he gently shoved her.

The past perfect progressive tense combines have/has with been and the past tense of the verb (listening, running, standing) to show that the action occurred continually in the past until the action was completed. 

Future Tenses

The future tense is used to express circumstances that will occur in the future. The future tense is different from the present and past tenses in that there is not usually a type of verb conjugation that shows the future tense. Instead, future verbs are formed by combining them with words like will or shall, or the phrase going to. The different future tenses are simple future, future progressive, future perfect, and future perfect progressive. 

Simple Future

The simple future expresses an action that will take place in the future.

• Next week, her uncle will be in town.
• Will you carry this bag for me?

To show that these actions take place in the future, the verbs are paired with will. 

Future Progressive

The future progressive expresses a continuous action which will take place in the future.

• He will be conducting a meeting between noon and one o’clock every day this week.
• Next summer, Jake will be traveling through South America.

To show that the action is continuous and in the future, the verbs are paired with will be, and to show that they are progressive, the main verb ends in -ing.

Future Perfect

The future perfect expresses a completed action that will have taken place in the future.

• We will have finished cooking by the time you arrive.
• Margaret will have dropped off her niece at the airport before meeting Joe.

In these examples, will and have are paired with the main verb to show readers that these actions will take place in the future, but will have already occurred.

Future Perfect Progressive

Lastly, the future perfect progressive tense expresses a continuous, completed action that will have taken place in the future.

• I will have been exercising for hours by the time you wake up tomorrow.
• When they arrive, they will have been traveling for 12 hours straight.

The verb has will to show that it takes place in the future, have been to show that it is completed, and an -ing verb to show that it is progressive or continuous.

Verb tense

The table shows how to correctly format verbs in a given tense. The “continuous” aspect is another name for the progressive aspect.

4.4.3: Verbal Aspect: Simple, Progressive, Perfect, and Perfect Progressive

“Aspect” refers to whether a verb is continuous, completed, both continuous and completed, or neither continuous nor completed.

Learning Objective

Identify the aspect of a verb

Key Points

• Aspect gives us additional information about a verb by telling us whether the action was completed, continuous, neither, or both.
• The simple aspect is for actions that are neither completed nor continuous.
• The perfect aspect is for actions that are completed, but not continuous.
• The progressive aspect is for actions that are continuous, but not completed.
• The perfect progressive aspect is for actions that are both continuous and completed.
• All verbs have both tense and aspect. Because there are three verb tenses and four verb aspects, there are twelve possible combinations of tense and aspect.

Key Terms

tense

A quality of verbs which indicates whether the verb occurred in the past, present, or future.

aspect

A quality of verbs which indicates whether the verb is continuous, completed, both of those, or neither.

Verb Aspect

We need tense to know if an event took place in the past, present, or future, but that’s not all we need in order to know what happened. Aspect gives us additional information about a verb by telling us whether the action was completed, continuous, neither, or both.

“Aspect” refers to the flow of time. Does the action take place in a single block of time, does the action occur continuously, or is the action a repetitive occurrence? There are four main aspects: simple, progressive, perfect, and perfect progressive. 

Since all verbs have both tense and aspect, all combinations of tenses and aspects, such as past progressive and future perfect, are possible. Think about it this way: tense tells us when an action began, and aspect tells us whether that action was continuous, completed, or something else.

Simple

The simple aspect describes a general action, one that is neither continuous nor completed. It is usually used to describe an action that takes place habitually.

Simple Past

Verbs in simple past describe a normal or habitual action that began in the past,  and used to happen but no longer does.

• June rode her bike to work every day that year.
• You had a dog when you were young, right?

Simple Present

Verbs in simple present describe a habitual action that still occurs in the present.

• My dad always enjoys novels about bakeries. 
• Grandma drops me off at the bus stop every morning.

Simple Future

Verbs in simple future describe an action that will begin in the future, and occur with regularity or certainty. To describe an action that will happen in the future, precede your main verb with “will,” “shall,” or another word or phrase indicating that the action occurs in the future.

• The sun will rise at 6:38 AM tomorrow. 
• She will call you back after dinner.

Progressive

The progressive form expresses continuous actions that happen over a period of time. They almost always involve some combination of the verb “to be” paired with the main verb ending in -ing.

Past Progressive

Past progressive verbs express actions that began in the past and were continuous, but did not continue into the present. In the past progressive tense, the main verb is paired with the past tense of the verb “to be” (was/were) to show that the action occurred continually in the past. 

• She was always saying stuff like that.
• I was running late all morning. 

Present Progressive

Present progressive verbs express actions that are continuous, and are still happening at the present moment. In present progressive, the main verb is paired with the present tense of the verb “to be” (is/are) to show that the action is happening currently.

• Phil is running around the block.
• Are you enjoying your tacos? 

Future Progressive

Future progressive verbs express actions that will begin in the future and be continuous. In future progressive, the main verb is paired with the future tense of the verb “to be” (will be) to show that the action will begin in the future.

• I will be heading home around nine o’clock.
• He will be traveling around the Yukon later this year.

Perfect

The perfect form refers to events that have been completed, but are still relevant to the speaker in the present moment. It almost always involves some form of the verb “have” combined with another verb.

Past Perfect

Verbs in past perfect express an action that both began and was completed in the past. Use “had” paired with the main verb in simple past tense.

• We had left before the stadium got crowded.
• Don’t worry, Emmett had already ruined the surprise.

Present Perfect

Verbs in present perfect express actions that began in the past, and have just now been completed. Use “has” or “have” paired with the main verb in simple past tense.

• Omar has finished his dinner. 
• Laura and Tomika have arranged the memorial.

Future Perfect

Verbs in future perfect express actions that will be completed in the future. Use “will have” paired with the main verb in simple past tense.

• I hope you will have completed your report by then!
• They will have won over half their games by the end of the season.

Perfect Progressive 

The perfect progressive, just as you would expect, is a combination of the perfect and progressive aspects. Perfect progressive refers to the completed portion of an ongoing action. It almost always involves a form of the verb “have” and a form of the verb “to be” combined with a verb ending in -ing.

Past Perfect Progressive

Verbs in past perfect progressive express a continuous, completed action that had taken place in the past. Use “had been” combined with the -ing form of the main verb.

• She was tired because she had been running.
• I had been lying awake for hours when the alarm went off. 

Present Perfect Progressive

Verbs in present perfect progressive express a continuous action that began in the past and continues into the present. Use “has been” or “have been” combined with the -ing form of the main verb.

• He has been working on his paper all morning.
• The librarians have been helping me with my research.

Future Perfect Progressive

Verbs in future perfect progressive express a continuous, completed action that will have taken place in the future. Use “will have been” combined with the -ing form of the main verb.

• By the time the winter ends, we will have been getting a foot of snow every week.
• This spring, I will have been working for Cool Stuff, Inc. for twenty years!

4.4.4: Verb Mood: Indicative, Subjunctive, and Imperative

Grammatical mood is a verb feature that allows speakers to express their attitude toward what they are saying.

Learning Objective

Identify the mood of a verb

Key Points

• Grammatical mood is a verb feature that allows writers to express their attitude toward what they are saying.
• The most commonly used mood is the indicative mood, which is used to express factual statements. 
• The subjunctive mood refers to hypothetical situations.
• The imperative mood gives commands or makes requests. 

Key Terms

grammatical mood

A feature of verbs which expresses the speaker’s attitude toward the subject.

imperative mood

Gives commands or makes requests.

indicative mood

Expresses factual statements. 

subjunctive mood

Expresses situations that are hypothetical or conditional. 

Grammatical mood allows speakers and writers to express their attitudes toward what they are saying (for example, whether it is intended as a statement of fact, of desire, or of command). In English, there are many grammatical moods, but by far the most common are the indicative, the imperative, the subjunctive, and the conditional.

You can change tense and aspect of a verb by changing something about the verb itself: For example, to make the verb “enjoy” past tense, you add -ed to the end. In English, mood is a little different. You don’t change anything about the verb itself. Instead, you change the sentence structure to express a certain mood.

The Indicative Mood

In English, the indicative mood is the most commonly used. It is used to express factual statements. 

• Atlanta is the capital of Georgia.
• Penguins cannot fly.
• Jebediah likes the beach. 

The Imperative Mood

The imperative mood expresses direct commands, prohibitions, and requests. In other words, it is used to tell someone to do something. In the imperative mood, the subject is almost always implied to be “you.”

• Do your homework now.
• Please don’t leave your bag there.

However, sometimes the subject can be implied to be “we.”

• Let’s go!

Let’s go

The imperative mood expresses direct commands and prohibitions. 

The Subjunctive Mood

The subjunctive mood is not commonly used in English. It is used for discussing imaginary or hypothetical events and situations, expressing opinions or emotions, or making polite requests. Usually, the subjunctive mood is used in a dependent clause. Subjunctive sentences are often of the following form: [Indicative verb phrase setting up a hypothetical scenario such as “I wish,” “I believe,” “I hope”] + [Subjunctive phrase describing hypothetical scenario].

• I wish Paul would eat more healthfully. [Main clause “I wish” is factual and in indicative mood; dependent clause “Paul would eat” is hypothetical and in subjunctive mood.]
• I suggest that we wait until after dinner to eat the cake. [Main clause “I suggest” is factual and in indicative mood; dependent clause “we wait until” is hypothetical and in subjunctive mood.]

The Conditional Mood

The conditional mood is used for speaking of an event whose completion depends on another event. In English, the conditional mood is usually of the form “would” + bare verb with no tense or aspect markers.

• I would go swimming if it weren’t so rainy.
• He would bake more often if he had a better oven.

4.5: Modifiers: Adjectives and Adverbs

4.5.1: Introduction to Adjectives and Adverbs

Adjectives modify nouns and pronouns; adverbs modify verbs, adjectives, and other adverbs. 

Learning Objective

Distinguish between adjectives and adverbs

Key Points

• Adjectives describe, quantify, or identify pronouns and nouns.
• Adjectives typically answer the questions how many?; How much?; What kind?; or Which one?
• Adverbs
  modify verbs, adjectives, and other adverbs. 
• Adverbs commonly describe how, when, or where the action of a verb took place.

Key Terms

adjectives

A part of speech that describes, quantifies, or identifies a noun or pronoun. 

adverb

A part of speech that describes, quantifies, or identifies a verb, adjective, or other adverb. 

Adjectives and Adverbs

Have you ever seen a photo of the Great Wall of China? It’s simply enormous. It’s incredibly long, snaking its stony way across the mountains and valleys of Asia, with beautiful towers standing tall every couple of hundred feet. But without modifiers, “the Great Wall”  would simply be “the Wall.” We need adverbs and adjectives in order to be descriptive in our writing.

Adjectives, like “great,” “enormous,” “stony,” “long,” and “beautiful,” modify nouns and pronouns. Adverbs, like “simply” and “incredibly,” modify verbs, adjectives, and other adverbs. 

Great Wall of China

Without adjectives, “the Great Wall” would just be “the Wall.”

Descriptive words can significantly improve your writing. They enhance the quality of information you provide, making your work more precise. However, you don’t want to overwhelm your reader with unnecessary or excessive description. Try to strike a balance.

Adjectives

Adjectives describe, quantify, or identify pronouns and nouns. Remember, a noun is a person, place, or thing. Pronouns, such as I, me, we, he, she, it, you, and they, take the place of nouns. Adjectives also answer the following questions: What kind? How many? How much? Which one?

Descriptions concerning What kind? offer descriptive details about the noun or pronoun. It may describe physical characteristics or emotions. Here are a few examples: the black car, the angry customer, the fashionable teen. 

The questions How many? and How much? refer to quantity of the noun or pronoun being described by the adjective. Quantity can be specific (four ducks) or general (some ducks). Here are some more examples: fourteen cents, a few puppies, several kittens, a dozen books. 

Which one? specifically describes which object is being referred to. These are workhorse words like “this,” “that,” “these,” and other words like “them”: that car, this letter, those volunteers. 

Adjectives are helpful when additional description is needed for a noun or pronoun. Like adjectives, adverbs can also help add details to your writing. 

Adverbs

Adverbs modify verbs, adjectives, and other adverbs. They commonly describe how, when, or where the action of a verb took place. How refers to the manner in which an action occurred. When addresses the time of the action. Where investigates the place or location the action took place. Here are some examples:

• The boys ran loudly down the stairs. [How did the boys run? Loudly.]
• We went down later. [When did we go? Later.]
• He delivered pizza locally. [Where did he deliver? Locally.]

Adverbs can also be used to modify adjectives and other adverbs. 

• The train leaves at a reasonably early hour. [The adverb reasonably modifies the adjective early.]
• She spoke quite passionately about politics. [The adverb quite modifies the adverb passionately.]

Which Should You Use: Adjectives or Adverbs?

Writers often have a choice in wording a sentence to use either an adjective or an adverb:

• Adjective: We had a quick lunch.
• Adverb: We ate lunch quickly.  

So, how do you choose when to use an adjective and when to use an adverb? One way to choose is simply to figure out whether the word you want to modify is a noun or a verb. In the first sentence, you are describing the lunch; in the second sentence, you are describing the manner of eating.

A better approach, though, is not to think about the words you could modify but the information you want to convey. You do not need to describe every noun or verb—just the ones whose details are important to the sentence. If you want to emphasize the meal, you would pick the first sentence; if you want to emphasize the act of eating, you would pick the second.

Remember, adjectives and adverbs can be separated by which types of information they provide. Think about the details that are necessary to include, and then choose your modifiers accordingly.

4.5.2: Adjectives

Adjectives modify nouns and pronouns.

Learning Objective

Identify adjectives

Key Points

• Adjectives are used to describe, quantify, or identify pronouns and nouns. 
• They answer these questions: What kind? How many? How much? Which one?
• Compound adjectives are used when two adjectives are needed to describe a noun.
• Adjectives can be used to compare two different things. 

Key Terms

adjective

A word that modifies a noun or pronoun.

compound adjective

One word formed with two hyphenated words and used to describe a noun. 

Adjectives

Adjectives describe, quantify, or identify pronouns and nouns. They also answer the following questions: What kind? How many? How much? Which one?

Descriptions about “What kind?” add detail about the qualities of the noun or pronoun being described. This ranges from details regarding physical characteristics to emotional states. Here are some examples: the yellow dress, the sad clown, the smart pupil. 

Descriptions answering “How many?” and “How much?” specify the amount of whatever noun or pronoun you are modifying. Quantifying adjectives can be specific (ten candles, three hundred pages) or general (several minutes, a few people, some candy).

Descriptions answering “Which one?” confirm exactly which object the writer is referring to. Examples include phrases such as “that novel,” “this writer,” or “those students.” Most adjectives that serve this purpose are called determiners or demonstrative pronouns.

Compound Adjectives

In some situations, two adjectives may be used to describe a noun. Sometimes these two adjectives remain separate, as two distinctive words describing the noun. But other times, the adjectives combine to become one adjective joined by a hyphen.

• The phrase a heavy metal detector refers to a metal detector that is heavy in weight. Heavy and metal are separate adjectives describing the detector in this situation. 
• The phrase a heavy-metal detector refers to a detector of heavy metals. Heavy-metal is the compound adjective describing the detector. 

As you can see, the hyphen completely changes the meaning of the phrase by combining two words into one. Here’s another example:

• The phrase man eating shark refers to a man who is eating a shark.
• The phrase man-eating shark refers to a shark that eats men. 

Adjectives for Comparison

Adjectives are also used to compare items:

• This year’s graduating class was smaller than last year’s class. 
• This book is the best one we’ve read so far.

The standard form for using adjectives for comparison is to add -er to the end of an adjective being used to compare two items (brighter, cooler) and -est to the end of an adjective used to compare more than two items (brightest, coolest). However, some adjectives—for example, ones that are three or more syllables—like beautiful are changed to say “more beautiful” and “most beautiful” rather than adding these endings. 

Pronouns as Adjectives

Sometimes, pronouns can be used as adjectives. In addition to demonstrative pronouns, possessive pronouns like “his” or “their” can also identify specific objects within a set. For example:

• Which car should we drive? We should drive her car. 
• Whose house is closest? Your house is closest.

Prepositional Phrases as Adjectival Phrases

Prepositional phrases can act as adjectives, normally modifying the noun that precedes them.

• Which books should we read? The books on the curriculum. 
• Whose stories did we listen to in class? Those of the teacher.

Lastly, in addition to single words, you can use adjectival phrases. These are phrases that begin with an adjective but then have a noun that adds further detail, such as “full of toys” instead of just “full.” They are most frequently used as a modifier placed right after a noun or as a predicate to a verb. For example, you could say “The child loved his bin full of toys,” or “That bin is full of toys.”

 

4.5.3: Adverbs

Adverbs modify verbs, adjectives, and other adverbs. 

Learning Objective

Identify adverbs

Key Points

• An adverb is used to modify verbs, adjectives, and other adverbs. 
• Adverbs answer these questions: When did something happen? How often did it occur? How was the action performed? Where did it take place?
• Sometimes, adverbs and adjectives are hyphenated to better describe a noun. 

Key Term

adverb

A part of speech which modifies verbs, adjectives, and adverbs.

Adverbs

Just as adjectives modify nouns and pronouns, adverbs modify verbs, adjectives, and other adverbs. How slimy was that swamp? Extremely slimy. How did she run? She ran quickly. How quickly did she run? Very quickly.

Adverbs are used to answer how, when, and where an action took place. More specifically, consider: When did something happen? How often did it occur? How was the action performed? Where did it take place? Let’s explore some examples:

• Describing when: The last time I went shopping was a while ago. 
• Describing how often: I visit my friends frequently. 
• Describing how: He ran quickly in the race. 
• Describing where: She sat down nearby.

Many adjectives can be made into adverbs simply by adding -ly to the end. However, there are other adverbs that do not end in -ly: very, quite, somewhat, most, least, and many others.

Prepositional Phrases as Adverbs

You can use prepositional phrases as adverbs if they modify a verb, adjective, or adverb. For example:

• Don’t judge a book by its cover. [The phrase “by its cover” describes the verb “judge.”]
• I am tired of this diet. [“Of this diet” describes the adjective “tired.”]

The Hyphenated Adverb

Hyphens can be used to combine an adverb and adjective to describe a noun. In this situation, the adverb is describing the adjective, and the adjective is describing the noun. However, when the adverb ends with -ly, a hyphen should not be used. Let’s review some examples.

• beautiful-looking flowers
• best-known author
• well-rounded student
• best-paid job

If the hyphen was removed from any of these examples the phrase would take on a different meaning. For example, “best-known author” describes the author who is known the best, whereas “best known author” would describe an author who is, separately, both best and known. The hyphen is what makes sure that “best” describes “known” rather than “author.”

4.5.4: Misplaced and Dangling Modifiers

A modifier is a word or group of words that describes another word or group of words.

Learning Objective

Identify incorrectly used modifiers

Key Points

• A modifier is a word or phrase that describes, limits, or qualifies another word.
• Adjectives and adverbs are two types of modifiers as they are used to describe other words. 
• It is important to use modifiers correctly so readers understand your intended meaning.  
• Incorrect modifiers come in the form of dangling modifiers, misplaced modifiers, and squinting modifiers. 
• The best way to fix an incorrect modifier is to restructure the sentence. 

Key Terms

modifier

A word or phrase that describes, limits, or qualifies the sense of another word or phrase.

misplaced modifier

Occurs when it is unclear what word or words a modifier is referencing. 

squinting modifier

A word that is placed right next to the word it refers to, but is also near another word that it might be modifying.

dangling modifier

An error in the sentence in which a modifier is associated with a word or phrase that it is not supposed to describe. 

Modifiers

A modifier is a word or phrase that describes another word or phrase.
Two common types of modifiers are the adverb (a word that describes an adjective, a verb, or another adverb) and the adjective (a word that describes a noun or pronoun). However, though all adjectives and adverbs are modifiers, not all modifiers are adjectives and adverbs. Many modifiers are entire phrases. For example:

• Responsible for representing students to the faculty and overseeing student organizations, the Student Council plays an important role in campus life. 

The modifying phrase (in italics) provides additional information about the subject of the sentence: the Student Council.

Clarity with Modifiers

Above all, it should always be clear to the reader which word an adjective, adverb, or modifying phrase is describing. By paying attention to placement and making sure that if you want to modify a verb you use an adverb instead of an adjective, you will make it much easier for your reader to pick up on your intended meaning. In situations where modifiers are used incorrectly, the result is a dangling modifier, a misplaced modifier, or a squinting modifier. 

Dangling Modifiers

A dangling modifier occurs when the modifying phrase is too far away from the word it is supposed to describe. As a result, the modifier appears to refer to something else, causing confusion for the reader. Dangling modifiers can be corrected by restructuring the sentence. For example:

Giant Illustration?

• Dangling: Covering most of Minnesota, the illustration showed the glacier created thousands of lakes. [This phrasing makes it seem like the illustration covers most of Minnesota!]
• Corrected: Covering most of Minnesota, the glacier created thousands of lakes, as depicted on the illustration. [Here, the modifying phrase clearly refers to glacier as it is intended.]

Walking Winds?

• Dangling: Walking across the desert, fierce winds swirled around the riders. [Here, the dangling modifier makes it seem like the winds are walking across the desert!]
• Corrected: Fierce winds swirled around the riders as they walked across the desert. [The sentence has been rephrased so that the riders are the ones walking across the desert.]

Strolling Squirrels?

• Dangling:
  Strolling through the park, the squirrels scampered across our feet. [This dangling modifier makes it sound like the squirrels are enjoying a nice stroll in the park!]
• Corrected: As we strolled through the park, squirrels scampered across our feet. [The sentence has been clarified so that the speaker and his companion are the ones who are strolling.]

Misplaced Modifiers

Similar to a dangling modifier, a misplaced modifier occurs when it is unclear what word(s) the modifier is referencing. Most misplaced modifiers can be corrected by placing the modifying phrase next to the subject it refers to. For example:

Hurt Bicycle

• Misplaced: Erik couldn’t ride his bicycle with a broken leg. [Here, it sounds like the bicycle has a broken leg!]
• Corrected: With his broken leg, Eric couldn’t ride his bike. [Now that the modifier is in the right place, the sentence makes it clear that Eric is the one with a broken leg.]

Ballerina Dog

• Misplaced: The little girl walked the dog wearing a tutu. [Is she walking a dog that is wearing a tutu?]
• Corrected: Still wearing a tutu, the little girl walked the dog. [No, the young lady is the one in the tutu!]

Squinting Modifiers

A squinting modifier is a modifier that is placed right next to the word it refers to, but is also near another word that it might be modifying. This can also be corrected by restructuring the sentence. For example:

A Great Exercise

• Squinting: Cycling uphill quickly strengthens the leg muscles. [Here, “quickly” could modify either “cycling uphill” or “strengthens the leg muscles.”]
• Corrected: Quickly cycling uphill strengthens the leg muscles. [Now it’s clear that it’s the cycling that has to be quick!]

Peter, I’m Sure We Could Find You a Chair

• Misplaced: Peter ate the pie sitting on the windowsill. [Is Peter sitting on a windowsill or is the pie?]
• Corrected: Peter ate the pie that was sitting on the windowsill. [It was the pie.]

Dangling

To avoid dangling and misplaced modifiers in your writing, make sure the word or phrase being modified is clearly identified.

4.6: Conjunctions

4.6.1: Conjunctions: Coordination, Correlation, Conjunction, and Subordination

A conjunction is a part of speech that connects words or phrases. 

Learning Objective

Choose the correct conjunction to connect two clauses

Key Points

• A conjunction is a part of speech that connects two words, sentences, phrases, or clauses. 
• Conjunctions help add variety to your writing because they can be used to create  sentences with different styles and meanings. 
• The different kinds of conjunctions are coordinating conjunctions, subordinating conjunctions, correlative conjunctions, and conjunctive adverbs.

Key Terms

coordinating conjunction

A word that joins words and phrases of equal syntactic importance.

conjunction

A part of speech that connects words or phrases. 

subordinating conjunction

A word that joins together the separate sections of a complex sentence.

In English grammar, a conjunction is a part of speech that connects two words, sentences, phrases, or clauses. There are several different types of conjunctions. 

Coordinating Conjunctions

Coordinating conjunctions are conjunctions that join, or “coordinate,” two or more items (such as words, clauses, or sentences) of equal importance. The major coordinating conjunctions are for, and, nor, but, or, yet, and so. (You can use the acronym FANBOYS to remember these!) The most common coordinating conjunctions out of these are and, or, and but. 

And

“And” connects non-contrasting items or ideas:

• They want hamburgers and hot dogs.
• She likes swimming at the pool and in the river.
• I will go to the grocery store and pick up the kids.

Or

“Or” presents an alternative item or idea.

• They want either hamburgers or hot dogs.
• She likes swimming at the pool or in the river depending on how hot it is.
• I will either go to the grocery store or pick up the kids.

But

“But” presents a contrast or exception.

• They want hamburgers, but not hot dogs.
• She likes swimming at the pool, but not in the river.
• I will go to the grocery store, but I won’t pick up the kids.

Nor

“Nor” presents a non-contrasting negative idea.

• They want neither hamburgers nor hot dogs.
• She doesn’t like swimming at the pool, nor in the river.
• I will neither go to the grocery store nor pick up the kids.

Yet

“Yet” presents a contrast or exception (usually, one more surprising than “but”).

• They want hamburgers, yet they don’t want hot dogs.
• She likes swimming at the pool, yet not in the river.
• I can go to the grocery store, and yet I somehow don’t have time to pick up the kids.

So

“So” presents a consequence.

• They ate hamburgers, so they’re too full for hot dogs.
• She likes swimming at the pool so she doesn’t have to drive to the river.
• I am going to the grocery store, so I can pick up the kids on the way home.

For

“For” presents a rationale.

• They want hamburgers, for they are hungry.
• She likes swimming at the pool, for she wants to stay cool.
• I will go to the grocery store, for we need to buy ingredients.

Subordinating Conjunctions

Subordinating conjunctions are conjunctions that join two separate clauses. The most common subordinating conjunctions in the English language include after, although, as, as far as, as if, as long as, as soon as, as though, because, before, even if, even though, every time, if, in order that, since, so, so that, than, though, unless, until, when, whenever, where, whereas, wherever, and while.

• Joe went to the store because he needed some orange juice.
• After the movie is over, we can have dinner at my house.
• He likes horses, even though a pony bit him once.

Correlative Conjunctions

Correlative conjunctions work in pairs in order to join words and groups of words of equal weight in a sentence. There are many pairs of correlative conjunctions, including: either/or; not only / but also; neither/nor; both/and; whether/or. 

• You either do your work or prepare for a trip to the office.
• Not only is he handsome, but he is also brilliant.
• Neither the basketball team nor the football team is doing well.
• Both the cross-country team and the swimming team are doing well.
• Whether you stay or go is your decision. 

Not only is the Sphinx in the picture, but the Pyramids are too.

The title contains an example of a correlative conjunction: “not only … but also.” A correlative conjunction is just one type of conjunction, which is a part of speech that connects two words, sentences, phrases, or clauses. Conjunctions can assist in creating sentences of various styles and emphases.

Conjunctive Adverbs

Conjunctive adverbs express a relationship or transition between two separate parts of a complex sentence. Common conjunctive adverbs include so, otherwise, also, consequently, for example, furthermore, however, in addition, in contrast, in fact, instead, likewise, moreover, nevertheless, otherwise, still, then, and therefore. For example:

• The CEO will be attending the lecture; accordingly, the vice president will be available for the luncheon at noon.
• Jaime wanted to see Billy Madison; however, Nick wanted to see Happy Gilmore.

4.7: Agreement and Parallelism

4.7.1: Subject-Verb Agreement

Verbs need to agree with the subject in both person and number.

Learning Objective

Recognize errors in subject-verb agreement

Key Points

• Verbs must agree with their subject in person and number.
• A first-person subject is I or we. Second person is you or you all. Third person is she, he, it, or they.
• A singular subject is a subject where there is only one person or thing; a plural subject is more than one person or thing.
• It’s good to double-check whether your verb agrees with your subject, as there are situations where it may be unclear.

Key Terms

collective noun

A number of people or things taken together and spoken of as a whole.

mass noun

A thing or concept usually referred to as a whole, rather than counted individually (e.g. advice or water).

plural

More than one in number.

verb

A word that indicates an action, an event, or a state of being.

Subject-Verb Agreement

In order for sentences to sound right, their verbs and subjects need to mesh well together. Since the subject is the one performing the action, the verb needs to match it in person and number.

“Person” is a way of saying who the subject is. There are three levels of “person” in English: first person, second person, and third person. To put it simply: In first person, the subject is I or we. Second person is you or you all. Third person is she, he, it, or they.

“Number” is a way of saying how many people (or objects) are in the subject. If only one person is in the subject, it’s singular. Otherwise, it’s plural.

Thus, a subject has both person and number, and the verb takes on the appropriate form. Take the examples below:

• Singular first person: I work.
• Singular second person: You work.
• Singular third person: He works.
• Plural first person: We work.
• Plural second person: You work.
• Plural third person: They work.

The verb “work” has two different forms, “work” and “works,” depending on the subject. 

Unusual Situations

As clear as this all seems, some situations are a bit trickier than others. For example, take an irregular verb like “be.”

• Singular first person: I am.
• Singular second person: You are.
• Singular third person: He is.
• Plural first person: We are.
• Plural second person: You are.
• Plural third person: They are.

This verb is highly irregular, and so it can be trickier to make sure that the subject and verb match in tense and number.

This is not the only unusual situation, however. Subject-verb agreement can become a little more complicated when the subject is very long and complex. When faced with situations like these, it is generally best to consider the entire complex subject phrase as one subject, and then think about what kind of thing it represents.

Compound Sentences

Compound sentences (two sentences joined by a clause) have a subject and verb in each clause. Make sure the subject of each clause agrees with the verb of each clause.

• The peanut butter is on the counter and the beans are in the bag.
• The children have a snow day, so I am going home early.

Modifying Phrases

Sometimes modifying phrases can come between the subject and verb of a sentence. This should not affect the subject-verb agreement.

• The idea of serving frankfurters is a good one.
• The children, along with their father, are taking a cab to the station.

Verb Precedes Subject

Sometimes the subject of a sentence can come after its verb. Even in these cases, the verb should still agree with the subject.

• Where are the candles for the cake?
• There is a quiet spot by the pond.

Compound Subjects

Compound subjects (two subjects joined by a conjunction) take plural verbs if they are joined by “and.” Think of it this way: you’ve got more than one subject, so your verb has to be plural. 

• The president and the children are at the party.
• My brothers and I are at the party.

Positive and Negative Subjects

When a positive subject and a negative subject are compounded and have different numbers, the verb should agree with the positive subject.

• It is not the assistant coaches but the head coach who calls the plays.
• It is the soup, but not the appetizers, that has poisoned the queen.

Or

When two nouns differing in number are joined by the word “or,” the verb should take the form of the noun closest to it. For example:

• Most viewers of the painting assume that either the monkey’s antics or the handler’s chagrin causes the young men’s laughter.

“Chagrin” is closer to the verb than “antics,” so the verb “causes” takes the singular form. Note that this is the case specifically because of the word “or.”

Indefinite Pronouns

Five indefinite pronouns always take plural verbs: others, both, many, few, and several.

• Both are arriving at the same time.
• Many people love parties.

However, most indefinite pronouns take singular verbs.

• Everybody is at the party.
• Either restaurant sounds good.

Some indefinite pronouns can take a singular or plural verb based on whether the noun to which they are referring is uncountable (singular) or countable (plural).

• Some (sand) is in my shoe.
• Some (pebbles) are in my shoe.

Collective Nouns

Collective nouns (which refer to a group of beings or things as a single unit) are singular, and so take singular verbs.

• The audience was silent at the end of the play.
• The class has plenty of homework for the weekend.

Mass Nouns

Mass nouns, like “water” or “mud” are neither singular nor plural. You can’t say “one water” or “two waters” because it’s all just a continuous object (unless you are talking about two distinct containers of water). Mass nouns represent a generic, unknown amount of whatever they are. They take a singular verb form.

• My baggage was left at the airport. [The subject baggage is a mass noun, so the verb was is singular.] 
• My bags were left at the airport. [The subject bags is a plural noun, so the verb were is also plural to agree with the subject.]

Amounts

Amounts take singular verbs because they are treated as units, which are singular nouns.

• Ten dollars is enough to buy the book.
• All I need is fifteen minutes to finish the exam.

Some non-amount words end in “s” but also take singular verbs because they refer to units or single entities.

• Economics is an interesting subject.
• The news airs at six o’clock.

Pair Words

Some words ending in “s” refer to single objects but are considered plural and so should take plural verbs, unless they are preceded by “pair of” (in which case “pair” would be the subject).

• Your shoes are bright yellow.
• My favorite pair of pants is in the wash.

Titles

The title of a book or work of art is always singular even if a noun in the title is plural.

• The Three Musketeers is sitting on the shelf by the window.

Sums and products take singular verbs in mathematical equations. Fractional expressions vary depending on the meaning.

• Three plus four equals seven.
• Three-fourths of the professors vote Republican.

The child stands near the door.

The title demonstrates the necessity of subject-verb agreement. The third person subject, “The child,” requires that the verb also take a third person singular form, “stands.”

Revising

Most of the time, writers use subject-verb agreement automatically. Most of us are so used to doing it that we do not need to think about the rule in order to follow it. Nevertheless, you should be aware of subject-verb agreement when editing your papers, especially if they have gone through many revisions. This is one thing writers may forget to edit. Most mistakes happen because writers are not paying careful attention to the number and person of their subjects. 

To figure out which noun the verb should agree with, begin by crossing out any prepositional phrases or other descriptive clauses. Then focus on the verb and ask yourself, “Who or what is performing this action?” Pare it down to just a subject and verb, and see if it sounds right. Writers need to consider whether the subject of the sentence is singular or plural, and whether the subject is first person, second person, or third person. Once this has been determined, the correct conjugation of the verb can be used. 

4.7.2: Pronoun-Antecedent Agreement

All pronouns must agree with their antecedent in number and gender.

Learning Objective

Recognize errors in pronoun-antecedent agreement

Key Points

• A pronoun is a word that replaces a noun or a group of nouns in a sentence. 
• A pronoun should agree in number and gender with the noun or phrase it refers to.
• The noun or phrase a pronoun refers to is called the antecedent.
• Using proper pronoun-antecedent agreement is important to properly expressing your ideas in writing. 

Key Terms

pronoun

A word that replaces a noun or group of nouns in a sentence.

antecedent

A noun or noun phrase to which a pronoun refers. 

Pronouns and Antecedents

A pronoun is a word that replaces a noun, or a group of nouns, in a sentence or sentences. A pronoun should agree in number and gender with the noun or phrase it refers to, which is known as the antecedent. Correct pronoun-antecedent agreement is crucial to writing professionally. 

A pronoun might have an antecedent from the previous sentence:

• Carolina hates cats. She has terrible allergies. [The pronoun she refers to the antecedent Carolina.]

But pronouns and antecedents can also occur in the same sentence:

Jim said he doesn’t like coffee. [The pronoun he refers to the antecedent Jim.]

• The twins helped by bringing their truck. [The pronoun their refers to the antecedent twins.]

Quantity Agreement

“Singular” means “one of something,” whereas “plural” means “more than one.” The singular pronouns include I, me, he, she, it, and more. Their antecedent will always be singular: just one person or object.

• Jamil was not as hungry. He stayed at the office. [The singular pronoun he refers to the antecedent Jamil.]

Examples of plural pronouns include we, us, they, and others. These pronouns must have an antecedent that is more than one person or object.

• George, Omar, and Phil were starving for lunch. They went to a Chinese buffet. [The plural pronoun they refers to the antecedent George, Omar, and Phil.] 

One tricky exception is “you.” In English, the pronoun “you” is the same whether it is singular or plural. Sometimes you can distinguish between the two by saying “you all” if you are speaking to more than one person. 

Gender Agreement

In some situations, pronouns need to be gender specific. The pronouns he, his, and him are masculine, whereas she, her, and hers are feminine. 

• Janice wanted to go to the mall. She wanted Scott to join her. He was not interested in going to the mall. [The pronouns she and her refer to the antecedent Janice. The pronoun he refers to the antecedent Scott.] 
• My dog Franklin is very skittish. He doesn’t enjoy the dog park. [The pronoun he refers to the antecedent Franklin.]

Gender-Neutral Pronouns

Gender-neutral pronouns include you, they, their, theirs, we, us, our, ours, your, and yours. In the case where the gender of the antecedent is unknown, the pronoun should be gender-neutral or avoided altogether. 

For example, take the general statement, “A student should hand his papers in promptly.” In this sentence, the word student does not indicate any gender, because it’s just a general, anonymous student. Therefore, rather than saying “his papers,” use one of the following:

• A student should hand papers in promptly. [Here, the gendered pronoun has been dropped, but the sentence is still grammatically correct.]
• Students should hand their papers in promptly. [By making the antecedent plural, you can use the gender-neutral plural pronoun their.]

4.7.3: Structural Parallelism Within a Sentence

Parallelism requires that similar ideas be presented in similar form.

Learning Objective

Give examples of parallel structure

Key Points

• Parallelism is when two or more elements of the same sentence have a similar structure.
• The most important parallel markers are the three most common conjunctions: and, but, and or.
• Parallelism requires that an article (a, an, or the) or a preposition applying to all members of a series must either appear before the first item only or be repeated before each item.

Key Term

parallelism

When two or more elements of the same sentence have a similar structure.

Parallelism

An unclear sentence rambles, drifting among unrelated topics in a haphazard and confusing fashion. Parallelism helps promote balance, emphasis, clarity, and readability. But what is parallelism?

Parallelism is when elements of a sentence “echo” each other because they have similar form or structure. Repeating key words can contribute to unity within an essay. Parallelism can be useful in many situations, but often we know that it will come in handy when we use words that link or contrast items, such as and, or, and but. 

Basic Form of Parallelism

• Nonparallel: Students spend their time going to classes, studying, working, and they wish they had time for a social life.
• Parallel: Students spend their time going to classes, studying, working, and wishing for a social life.
• Nonparallel: High-school students hope for short school days, or four-day weeks would be great, too.
• Parallel: High-school students hope for short school days or four-day weeks.

Using Articles with Parallelism 

Parallelism requires that an article (a, an, or the) or a preposition applying to all items in a list either appear before the first item only or be repeated before each item. Here are a few examples of the rule in action:

• Nonparallel: We can pay with a mark, a yen, buck, or pound.
• Parallel: We can pay with a mark, a yen, a buck, or a pound.
• Nonparallel: I went to the store on Monday, Wednesday, and on Friday.
• Parallel: I went to the store on Monday, Wednesday, and Friday.

Prepositions in Parallelism

Some words require that certain prepositions precede them. When such words appear in parallel structure, it is important to include all of the appropriate prepositions, since the first one may not apply to the whole series of items. Here are a few examples of the rule in action:

• Nonparallel: His speech was marked by disagreement and scorn for his opponent’s position.
• Parallel: His speech was marked by disagreement with and scorn for his opponent’s position.
• Nonparallel: This is a time not for words but action.
• Parallel: This is a time not for words but for action.

Correlative Expressions

Correlative expressions are words that tend to show up in pairs. Sentences with correlative expressions (both/and; not/but; not only / but also; either/or; first, second, third …) should employ parallel structure as well. Simple rewriting can often remedy errors in these types of sentences. Here are a few examples of the rule in action:

• Nonparallel: Either you must grant her request or incur her ill will.
• Parallel: You must either grant her request or incur her ill will.
• Nonparallel: My objections are first, the injustice of the measure, and second, that it is unconstitutional.
• Parallel: My objections are first, that the measure is unjust, and second, that it is unconstitutional.

Using Logic to Determine Structure

In some instances, you must figure out which parts of the sentence are parallel in meaning before making them parallel in structure. Here is an example:

• Correct: Sal applied himself in his new job, arriving early every day, skipping lunch regularly, and leaving late every night.

In the sentence above, the -ing participle phrases (“arriving early every day,” “skipping lunch regularly,” and “leaving late every night”) are parallel. The main clause—”applied himself in his new job”—is not parallel to these participle phrases. This is because the main verb is “applied.” The -ing phrases simply provide additional information about how Sal applied himself. It would distort the meaning to change the sentence to this superficially parallel version:

• Incorrect: Sal applied himself in his new job, arrived early every day, skipped lunch regularly, and left late every night.

This version gives all the activities equal emphasis, instead of making the last three activities subordinate to the main activity (“applied himself in his new job”).

3.1: Understanding the Academic Context of Your Topic

3.1.1: Understanding the Academic Context of Your Topic

Learning Objective

Explain the importance of including a discussion of the status quo in a paper

Key Points

• In writing, “status quo” refers to how earlier scholars have approached an issue.
• In the earlier part of a paper, the writer must explain to the reader the status quo about a subject in order for the reader to understand the stakes of changing the argument.
• The status quo is also common ground between a writer and a reader.

Key Term

status quo

A Latin term meaning the current or existing state of affairs; literally, “the state in which.”

What Is the Status Quo?

“Status quo” refers to the existing and accepted body of academic research and discourse on a given topic. Conducting the appropriate research on this discourse is an important preliminary step to academic essay writing.
Academic papers rely on the status quo to inform and support the writer’s argument. One of the main principles of academic writing is active and creative interpretation of research and arguments that have come before. 

Finding the Status Quo

Within the context of academic writing, “status quo” refers primarily to scholarly findings — that is, what other academic experts have published around a particular subject. Prior to writing an academic paper, the writer must investigate and study scholars’ arguments thoroughly and critically. This helps the writer understand how scholars’ arguments fit into the wider context of the paper, and it applies even in cases where the majority of research will be used for knowledge rather than citation purposes.

Examining the status quo

Before you begin writing on any topic, it is important to understand the dominant conversation, or the status quo, associated with the topic. Examining the status quo is a good way of figuring out where to situate your specific insight on a topic.

As the writer continues her research, she will eventually find sources to incorporate into the paper. During the writing process, it can be helpful to form questions focused on a specific work or idea to help set up the paper’s hypothesis. Because the status quo is crucial to the writer’s argument, it is usually included in the paper’s introduction.

Why Does the Status Quo Matter?

Identifying the status quo in the introduction serves several purposes. First, it helps readers immediately understand the context of the argument. When readers are informed about the sources used to support the argument, they can gain a better understanding of it. Second, identifying the status quo also tells readers why the writer’s angle is unique compared to past research.

Accurately summarizing the status quo also demonstrates that the writer has enough knowledge and expertise within the field to confidently make an argument. Audiences have a difficult time trusting a writer who fails to describe or prove that he or she is familiar with the status quo.

Contributing to the Status Quo

The status quo is not fixed and is constantly evolving and growing because new writing adds to and changes it. Whenever a writer puts forth a new argument, draws a new conclusion, or makes new connections, the status quo changes, even if only slightly. As a researcher and writer, you also have the potential to change the status quo through your research and argument. 

3.2: Organizing Your Research Plan

3.2.1: Organizing Your Research Plan

To save time and effort, decide on a research plan before you begin.

Learning Objective

Outline the steps of the research process

Key Points

• Your research plan will specify the kinds of sources you want to gather. These may include scholarly publications, journal articles, primary sources, textbooks, encyclopedias, and more. Most search engines will let you filter search results by type of source.
• You can limit your sources by date and time period when planning your research. You can use search engines to find only articles written within a specific time frame to ensure your findings are relevant. You can apply filters such as “written in the past 10 years” to narrow your search results.

Key Term

research

Pursuit of information, such as facts, principles, theories, applications, etc.

A research paper is an expanded essay that relies on existing discourse to analyze a perspective or construct an argument. Because a research paper includes an extensive information-gathering process in addition to the writing process, it is important to develop a research plan to ensure your final paper will accomplish its goals. As a researcher, you have countless resources at your disposal, and it can be difficult to sift through each source while looking for specific information. If you begin researching without a plan, you could find yourself wasting hours reading sources that will be of little or no help to your paper. To save time and effort, decide on a research plan before you begin.

Books, books, books …

Do not start research haphazardly—come up with a plan first.

Creating a Research Plan

A research plan should begin after you can clearly identify the focus of your argument. Narrow the scope of your argument by identifying the specific subtopic you will research. A broad search will yield thousands of sources, which makes it very difficult to form a focused, coherent argument. It is simply not possible to include every topic in your research. If you narrow your focus, however, you can find targeted resources that can be synthesized into a new argument. 

After narrowing your focus, think about key search terms that will apply only to your subtopic. Develop specific questions that can be answered through your research process, but be careful not to choose a focus that is overly narrow. You should aim for a question that will limit search results to sources that relate to your topic, but will still result in a varied pool of sources to explore.

If you are studying the Battle of Gettysburg, for example, you might decide to look into any number of topics related to the battle: medical practices on the field, social differences between soldiers, or military maneuvers. If your topic is medical practices in battle, an search for “Battle of Gettysburg” would return far too many general results. You would also not want to search for a single instance of surgery, because you might not be able to find enough information on it. Find a happy medium between very broad and too specific.

Another part of your research plan should include the type of sources you want to gather. The possibilities include articles, scholarly journals, primary sources, textbooks, encyclopedias, and more. Most search engines will let you limit search results by type of source. If you know that you are only looking for articles, you can exclude things like interviews or abstracts from your search. If you are looking for specific kinds of data, like images or graphs, you might want to find a database dedicated to that sort of source.

You can also limit the time period from which you will draw resources. Do you only want articles written in the past ten or twenty years? Do you want them from a specific span of time? Again, most search engines will allow you to limit results to anything written within the years you specify, and the choice to limit the time period will depend on your topic. Determining these factors will help you form a specific research plan to guide your process.

Example of a Research Process

A good research process should go through these steps:

1. Decide on the topic. 
2. Narrow the topic in order to narrow search parameters. 
3. Create a question that your research will address.
4. Generate sub-questions from your main question. 
5. Determine what kind of sources are best for your argument. 
6. Create a bibliography as you gather and reference sources.

For example, in step one, you might decide that your topic will be 19th-century literature. Then in step two you may narrow it down to 19th-century British science fiction, and then narrow it down even further to Mary Shelley’s Frankenstein.

Then, in step three, you would come up with a research question. A good research question for this example might be, “How does the novel’s vision of generative life relate to the scientific theories of life that were developed in the 19th century?” Posing a historical question opens up research to more reference possibilities.

Next, in step four, you generate sub-questions from your main question. For instance, “During the 19th century, what were some of the competing theories about how life is created?,” and “Did any of Mary Shelley’s other works relate to the creation of life?” After you know what sub-questions you want to pursue, you’ll be able to move to step five—determine what kind of sources are best for your argument. Our example would lead us to possibly look at newspapers or magazines printed in the late 18th or early 19th century. In addition, books or essays on the topic, both contemporary and older, could be sources. It is likely that someone has researched your topic before, and even possibly a question similar to yours. Books written since your time period on your specific topic could be a great source for further references. When you find a book that is written about your topic, check the bibliography for references that you can try to find yourself.

As you accumulate sources, make sure you create a bibliography, or a list of sources that you’ve used in your research and writing process. And finally, have fun doing the research!

3.3: Finding Your Sources

3.3.1: The Importance of Reliability

Using reliable sources in research papers strengthens your own voice and argument.

Learning Objective

Recognize sources that may be biased

Key Points

• While researching for sources relevant to your topic, you need to critically read a source to identify possible political or other forms of bias, to consider the effects of historical context, and to discover possible bias on the part of the author.
• The age of a source is another factor to consider, the importance of which will differ depending on the topic.
• Consider the possible biases of the author.
• Websites, unlike books, do not necessarily have publishers. Therefore, you should be attentive to who is behind the websites you find.

Key Terms

research

Diligent inquiry or examination to seek or revise facts, principles, theories, applications, et cetera; laborious or continued search after truth.

source

The person, place or thing from which something (information, goods, etc. ) comes or is acquired.

Example

• If you’re working on an essay about current developments in end-of-life care for terminally ill patients, an outdated source, such as a 1997 Detroit Free Press article about Jack Kevorkian, will likely not be relevant for your discussion, except as part of a historical overview of the politics of physician aid-in-dying. Nor would the Wikipedia entry for “euthanasia” be an appropriate place to look for information, since, while it can be useful for collecting colloquial information, Wikipedia is certainly not a scholarly source. Various religious or other non-medical interest-group sources could likely crop up in your search, but in those cases you’d need to take special care to identify potential biases and consider their impact on the information you find.

Using sources in research papers strengthens your own voice and argument, but to do so effectively you must understand your sources and vet their reliability. 

When researching, it is important to determine the position and the reliability of every source/author. This will ensure that your source is both credible and relevant, and that the source will enhance your paper rather than undermine it. The following are a few recommendations to approach sources in whatever form they take.

How Old Is the Source?

The guidelines for assessing the usability of print sources and digital sources (i.e., sources accessed through the Internet) are similar. One point to keep in mind for both digital and print sources is age: How old is the source? Examining the source’s age helps you determine whether the information is relevant to your paper topic. Depending on your topic, different degrees of age will be appropriate. For example,
if you are writing on 17th-century British poetry, it is not enough to simply find sources from the era, nor is adequate to reference only early 20th-century scholarly sources. Instead, it will be helpful to combine the older, primary sources with more recent, secondary scholarship. Doing so will make a convincing case for your particular argument. If you are researching public-health theories, however, your argument will depend on more modern scholarly sources. Older articles may include beliefs or facts that are outdated or have been proven wrong by more contemporary research. 

With digital sources, be wary of sites with old, outdated information. The point is to avoid presenting inaccurate or outdated information that will negatively impact your paper.

Author Biases

Author bias is another consideration in choosing a source. “Author bias” means that the author feels strongly about the topic one way or another, which prevents the author from taking a neutral approach to presenting findings. For print sources, you can assess bias by considering the publisher of the book. Books published by a university press undergo significant editing and review to increase their validity and accuracy. Be cautious about self-published books or books published by specific organizations like corporations or nonprofit groups. Unlike university presses, these sources may have different guidelines and could be putting out information that is intentionally misleading or uninformed. Similarly, periodicals like scholarly journals or magazines may also have bias. However, scholarly journals tend to be peer-reviewed and contain citations of sources, whereas a magazine article may contain information without providing any sources to substantiate purported claims.

While you want to support your argument with your research, you don’t want to do so at the expense of accuracy or validity.

Online Resources

Websites, unlike books, do not necessarily have publishers. Instead, you should consider who is behind the websites you find. To avoid using information that comes from an unreliable source, stick to scholarly databases. While you can find some articles with general search engines, a search engine will only find non-scholarly articles. If you use broader Internet searches, look closely at domain names. Domain names can tell you who sponsors the site and the purpose of that sponsorship. Some examples include educational (.edu), commercial (.com), nonprofit (.org), military (.mil), or network (.net). 

Depending on your topic, you may want to avoid dot-com websites because their primary purpose tends to be commerce, which can significantly affect the content that they publish. Additionally, consider the purpose that the website serves. Is any contact information provided for the website’s author? Does the website provide references to support the claims that it makes? If the answers to these types of questions are not readily available, it may be best to look in other places for a reliable source.

There are increasing numbers of non-scholarly sites that pertain to particular topics, but are not scholarly sources. Blogs, for example, may cater to a particular topic or niche, but they are typically created and managed by an individual or party with an interest in promoting the content of the blog. Some blog writers may have valid credentials, but because their writing is not peer-reviewed or held to an academic standard, sites such as these are typically unreliable sources. 

Remember, when researching, the goal is not only to gather sources, but to gather reliable resources. To do this, you should be able to not only track the claims contained within a source, but also consider the stakes that may be involved for the author making those claims. While personal motivation may not always be accessible in a document, in some cases there can be contextual clues, like the type of publisher or sponsor. These may lead you to decide that one source is more reliable than another.

Money and magnifying glass

When you evaluate scholarly sources, look out for potential conflicts of interest and hidden agendas. For example, the sources of funding for research are very important, as they may influence the writers’ interpretation of results.

3.3.2: Scholarly Sources

In academic writing, the sources you use must be reliable; therefore, you should rely mainly on scholarly sources as the foundation for your research.

Learning Objective

List the different types of scholarly sources available to researchers

Key Points

• Not all sources are equal. One way to find reputable scholarly sources is to avoid using general search engines such as Google or Wikipedia.
• Use academic search databases like JStor, EBSCO, or Academic Search Premier.
• Primary sources give the researcher a glimpse into the time period under review and provide opportunities for new analysis. 
• In addition, do not hesitate to visit your library in order to ask your librarian about accessing these databases, and also in order to search for print materials.

Key Terms

secondary source

Any document that draws on one or more primary sources and interprets or analyses them; also, sources such as newspapers, whose accuracy is open to question.

primary source

A historical document that was created at or near the time of the events studied, by a known person, for a known purpose.

database

A collection of (usually) organized information in a regular structure, usually but not necessarily in a machine-readable format accessible by a computer.

Reliability

Research is the foundation of a strong argument, theory, or analysis. When constructing your research paper, it is important to include reliable sources in your research. Without reliable sources, readers may question the validity of your argument and your paper will not achieve its purpose.

Academic research papers are typically based on scholarly sources and primary sources. Scholarly sources include a range of documents, source types, and formats, but they share an important quality: credibility. More than any other source you are likely to encounter during your research, a scholarly source is most likely to be reliable and accurate. Primary sources are documents that were written or created during the time period under study. They include letters, newspaper articles, photographs, and other artifacts that come directly from a particular time period. 

Scholarly Sources

A scholarly source can be an article or book that was written by an expert in the academic field. Most are by professors or doctoral students for publication in peer-reviewed academic journals. Since the level of expertise and scrutiny is so high for these articles, they are considered to be among the best and most trustworthy sources. Most of these articles will list an author’s credentials, such as relevant degrees, other publications, or employment at a university or research institution. If an article does not, try searching for the author online to see how much expertise he or she has in the field.

You may decide to use sources that are not scholarly articles, such as interviews or newspaper articles. These sources should also be written by an expert in the field and published by a reputable source. An investigative essay in the New Yorker would be fine; an investigative essay in the National Enquirer would not.

Other types of scholarly sources include non-print media such as videos, documentaries, and radio broadcasts. Other sources may include tangible items such as artifacts, art, or architecture. It’s likely that you will find secondary sources that provide analysis of these sources, but you should also examine them to conduct your own analysis. 

Primary and Secondary Sources

A primary source is an original document. Primary sources can come in many different forms. In an English paper, a primary source might be the poem, play, or novel you are studying. In a history paper, it may be a historical document such as a letter, a journal, a map, the transcription of a news broadcast, or the original results of a study conducted during the time period under review. If you conduct your own field research, such as surveys, interviews, or experiments, your results would also be considered a primary source. Primary sources are valuable because they provide the researcher with the information closest to the time period or topic at hand. They also allow the writer to conduct an original analysis of the source and to draw new conclusions. 

Secondary sources, by contrast, are books and articles that analyze primary sources. They are valuable because they provide other scholars’ perspectives on primary sources. You can also analyze them to see if you agree with their conclusions or not.

Most essays will use a combination of primary and secondary sources.

Where to Find Scholarly Sources

The first step in finding good resources is to look in the right place. If you want reliable sources, avoid general search engines. Sites like Google, Yahoo, and Wikipedia may be good for general searches, but if you want something you can cite in a scholarly paper, you need to find it from a scholarly database.

Popular scholarly databases include JStor, Project Muse, the MLA International Bibliography, Academic Search Premier, and ProQuest. These databases do charge a fee to view articles, but most universities will pay for students to view the articles free of charge. Ask a librarian at your college about the databases to which they offer access.

Most journals will allow you to access electronic copies of articles if you find them through a database. This will not always be the case, however. If an article is listed in a database but can’t be downloaded to your computer, write down the citation anyway. Many libraries will have hard copies of journals, so if you know the author, date of publication, and page numbers, you can probably find a print edition of the source.

At the college or university level, you have another incredible resource at your fingertips: your college’s librarians! For help locating resources, you will find that librarians are extremely knowledgeable and may help you uncover sources you would never have found on your own—maybe your school has a microfilm collection, an extensive genealogy database, or access to another library’s catalog. You will not know unless you utilize the valuable skills available to you, so be sure to find out how to get in touch with a research librarian for support!

Examples of Scholarly Sources 

The exact combination or sources you use in your paper will depend on the discipline in which you are conducting research and the topic of your essay. Here are some examples of the types of sources you might include in a variety of academic fields.

• Politics/Law: You could include text from the Constitution or a Supreme Court decision as a primary source, and you may include a scholarly article that discusses that decision as a secondary source. 
• Science: You may include findings from a scientific research study as a primary source, and you may include an article from a medical journal as a secondary source.
• Arts/humanities: You may include a piece of artwork or writing as a primary source, and you may include a scholar’s critical analysis of that work as a secondary source.
• History: You may include correspondence between historical figures as a primary source, and you may include information from a textbook as a secondary source.

These list of examples is meant to illustrate the range of approaches you may take when determining what sources to include in your paper, but it is not an exhaustive list of the possibilities available to you! The researcher’s ability to draw connections between a variety of sources is part of the art of research-paper writing, so you must decide on the best combination of scholarly sources for your essay. 

Research

Looks like he’s found a good print source—though it may be too old for us to use today.

3.3.3: Choosing Search Terms for Sources

Conducting searches related to the keywords or subheadings of your topic will help systematize your research.

Learning Objective

Identify useful search terms given a research topic

Key Points

• In the course of your research, your initial keywords may reveal other avenues that could help further your research, especially in situations where the keywords are still vague.
• You can search both online databases and actual library catalogs for sources. Catalogs and databases allow you to organize searches by subject headings and/or key terms.
• The two options for narrowing your search are to use key terms or subject headings. Key terms are words that will appear frequently in the article. Subject headings are categories of articles grouped by theme.

Key Terms

library catalog

A register of all bibliographic items found in a library or group of libraries, such as a network of libraries at several locations.

database

A collection of (typically) organized information in a regular structure, usually but not necessarily in a machine-readable format accessible by a computer.

Example

• If you’re studying 19th-century theories of life, in the course of reading you might find “spontaneous generation,” which was a popular 19th-century theory of how life was formed. This could help open new avenues for searching further sources. If the topic of your paper is 19th-century scientific theories of life and Mary Shelley’s Frankenstein, some keywords that might be relevant for your search would include “science,” “Frankenstein,” and “life”.

Before you start conducting your research, you should have created a research plan with a specific research question. In addition to this plan, you should begin your search with an objective in mind. What exactly are you looking for? Do you want facts, opinions, statistics, quotations? Is the purpose of your research to find a new idea, find factual information to support a position, or something else? Once you decide what you are looking for, it is much easier to look for sources in the correct places and with the correct words and phrases. 

Once you have your research topic and you know which databases you want to search for articles, you need to determine the best way to go about searching. For starters, you can’t just type in a question like, “What were medical practices like during the Battle of Gettysburg?” Instead, you should search one of two ways. The first option is to use key terms, or words that will appear frequently in the article. The second is to use subject headings—categories of articles grouped by theme.

To search key terms, think about important words that will occur in sources you could use. Then, type one or two of those terms into the search bar. Most search engines will generate results based on how frequently those words appear in articles and their abstracts.

Let’s use our topic from the previous section, medical practices at the Battle of Gettysburg, as an example. You might choose keywords like “amputation,” “field medicine,” and “Gettysburg.” This should yield articles that discuss amputations on the field during the Battle of Gettysburg. You could also search something like “anesthesia” and “Civil War,” which would lead you to articles about anesthetics during the war.

While searching with key terms, you may need to get creative. Some articles will use different language than you might expect, so try a variety of related terms to make sure you’re getting back all the possible results.

 

A lot of options

Phrase your search terms as specifically as possible, so that you only find relevant sources.

3.4: Understanding Your Sources

3.4.1: Understanding Your Sources

When researching, read through your sources twice: once to understand the author’s purpose and argument, and a second time to evaluate the argument.

Learning Objective

Outline the process for reading an academic source

Key Points

• Typically, you will need to read sources twice to get a complete picture of what they say and how you can use them.
• Your first reading should focus on understanding the source’s argument. Start by looking for the topic and the thesis, then consider the author’s stated purpose and the evidence he or she uses to support the argument. 
• Your second reading should focus on whether you agree or disagree with the source, and whether you have any commentary that you would like to make about the author’s argument.
• Reading scientific articles requires a different strategy than reading a newspaper article or textbook: you should skim the text, compare the hypothesis to the conclusion, identify key terms and visual aids, and then read the article closely for content.
• Take notes as you read to understand your sources and the questions they raise.
• While reading critically, ask yourself questions to better understand the content, the author’s position, and the value of the source. 

Key Terms

thesis

A statement supported by arguments.

audience

The readership of a book or other written publication.

purpose

An object to be reached; a target; an aim; a goal.

Reading Your Sources

Once you’ve found sources to help your research, you must read each source carefully. To develop a sufficient understanding of the source, you will typically need to read it twice before including it in your essay. The first time should be devoted to understanding the argument the source is making. The second reading should focus on how the argument is made. At this stage, you should also determine whether you agree or disagree with the argument that the source is making, and whether it would support the argument you will make in your paper.

The First Reading

Start by looking for the topic and the thesis. What is the author’s stated purpose? What kind of evidence does he or she use to support the argument? What is the author saying? What is her purpose? The author could be trying to explain, inform, anger, persuade, amuse, motivate, sadden, ridicule, attack, or defend. Once you understand the argument and purpose, you can begin to evaluate the argument.

The Second Reading

This is the time to think about whether you agree or disagree with the source, and whether you have any commentary that you would like to make about the author’s argument. During your second reading you should consider the writer’s reputation and their intended audience. Determine whether you find the author credible or not. If you do, and if the author’s purpose and argument support your own, you can begin incorporating the source into your own writing. If you find the author credible but disagree with his purpose, it can still be valuable to consider the source in your own writing so that you can anticipate and acknowledge counterarguments later in your essay. 

Finally, remember to pay attention to quotation marks as you read. It’s important to note whether the author of a text is writing, or if they are quoting someone else. Quotation marks are a helpful tool that authors use to help readers in distinguishing their voice from those of others. By paying attention to quotations and other cited material, you may also gain leads on other sources and authors you can incorporate in your paper. 

Reading Scientific Articles

Do not read a scientific article as though you’re reading a textbook. Unlike academic articles, science textbooks organize information in chronological order and highlight important terms, definitions, and conclusions with bold text and graphics. Academic articles require a more proactive reading strategy.

Follow these four steps for reading scientific articles:

1. Before you read the entire article, skim it quickly for an overview of its structure.

2. Return to the beginning for a selective reading. Read the abstract, which will summarize the article. Read the beginning and end of the introduction, which will present the main points and explain their importance. Skim the conclusion to see how the results correspond to the hypothesis. As you read, look for keywords that signal important information, such as the following: surprising, unexpected, in contrast with previous work, we hypothesize that, we propose, we introduce, we develop, the data suggest.

3. Skim the entire article for common keywords and also visual aids (such as diagrams and charts), which are good indicators of important information.

4. At this point, you can read the article closely, attempting to draw inferences beyond what it states explicitly. As you read, take notes in a separate notebook, or in a computer document.

Questions for Guided Reading

If you want to make sure you catch the most important features of the article, ask pointed questions while you read. The following questions are essential to a thorough summary of a scientific article:

1. What is the topic of the article?
2. How is the problem, question, or issue defined?
3. What is the purpose of the research? What question, problem, or issue did the article address in relation to the topic?
4. Are any assumptions unusual or questionable?
5. Why is the question, problem, or issue important? What situation exists that motivated the research?
6. What experimental design is used? What methods are used?
7. What are the results? How were they interpreted? What did the researcher conclude?
8. Why is the article valuable or noteworthy? Does it answer a previously unanswered question, or contradict earlier research? Does it introduces a new method or technique? Does it test an old conclusion in a new way? Does it prove an old assumption false?

Taking Notes

No matter what you are reading, the following strategies are effective:

• Highlight important passages.
• Draw lines between the highlighted parts and briefly describe their connection.
• Map the relationships between key concepts.
• Make a list of keywords.
• Look for words that signal an important piece of information.
• Look for familiar concepts applied to new populations or situations.
• Try to find evidence that might contradict something that was established in your class.

Think about it …

Once you have scanned a source to know what it is about, reread it while thinking critically about its argument.

3.5: Using Your Sources

3.5.1: Taking Useful Notes on Your Sources

Taking organized notes on your sources as you do research will be helpful when you begin writing.

Learning Objective

Describe useful note-taking strategies

Key Points

• Notes should not only include bibliographic information, but also relevant arguments, quotes, and page numbers.
• Systematizing your note-taking while doing research will reduce the need to aimlessly search through all your sources when you transition into writing. Taking notes now, even though it may feel frustrating, is in your best interest in the long run.
• Use the full citation as your heading for each segment of notes you take. That way, you can be sure to have the citation ready when you start writing your paper.

Key Term

citation

A paraphrase of a passage from a book, or from another person, for the purposes of a scholarly paper.

Example

• Consider the following source: Aldiss, Brian W. “On the Origin of Species: Mary Shelley.” Speculations on Speculation: Theories of Science Fiction. Eds. James Gunn and Matthew Candelaria. Lanham, Maryland: Scarecrow, 2005. Notes for this source might look like this: “Aldiss discusses the relationship between Erasmus Darwin, Charles Darwin’s grandfather, and the text of Frankenstein. See especially page five where Aldiss points out that the introduction includes references to galvanism and electricity.”

Why Take Notes While Researching?

While most of your research will take place before you begin writing, you will still refer to your resources throughout the writing process. This will be much easier if you take thorough notes while reading through your sources during the initial research phase.

The goal of note-taking is to keep a record of whatever information you might want to use later. Your notes should be as thorough as they need to be, but not too long that they are no longer useful to you. If you summarize information, make sure you include whatever you might want to incorporate in your paper. If you think a quote will be useful, write it down in full. Avoid copying whole paragraphs or pages, though; instead, decide exactly what is useful to you on that page and write only that down. You want to be able to look through your notes later on and easily see what information you found useful. 

Organizing Your Notes

Organizing your notes is just as important as taking quality notes. You will need to track exactly which source each note came from so that you can properly cite your sources throughout your writing. Thus, the first thing you should do when taking notes is to write down the full citation for the source on which you are taking notes. This will help you find the source later on if you need to, and will ensure that you still have the complete citation even if you lose the source or have to return it to the library. Organizing notes by source also ensures that you will never lose track of how you need to cite them in your paper, so beginning with citation information provides a useful heading.

In addition to labeling each source, always be sure to write down the page numbers where you found whatever information you’ve written down. You will need to know the page number when you cite that information in your paper.

There are several methods for organizing your notes while researching, such as the following:

• Index cards: You may want to create an index card or set of cards for each source you use. You can then store the cards in order and can easily sort through them to find the notes you need. 
• Online sources such as Microsoft OneNote: OneNote is a digital notebook that allows you to create new pages, tabs, and notebooks for your notes. You can quickly navigate between pages, and you will have the advantage of already having important quotations and citation information in typed form. This makes it easy to incorporate notes into your paper during the writing process.
• Organize by subtopic: Some sources may provide information on several subtopics that relate to your argument. You can choose to organize your notes for each source by subtopic so that when you get to that topic in your essay, you can easily find the notes on it. You can do this by creating headings or subheadings within your notes.

Taking notes

Some people use index cards to organize their notes while researching.

3.5.2: Maintaining an Annotated Bibliography

An annotated bibliography is a list of all your sources, including full citation information and notes on how you will use the sources.

Learning Objective

List the elements of an annotated bibliography

Key Points

• If you keep an annotated bibliography while you research, it will function as a useful guide. It will be easier for you to revisit sources later because you will already have notes explaining how you want to use them.
• If you find an annotated bibliography attached to one of the sources you are using, you can look at it to find other possible resources.
• It is important that you use the proper format when citing sources. Consult the style manual for whichever format your professor asks that you use.
• When you make notes on your sources, include a summary of the source, an evaluation of its reliability and potential bias, and a reflection on how the source could be used in the essay. 

Key Terms

bibliography

A list of books or documents relevant to a particular subject or author.

annotation

A note that is made while reading any form of text that may be as simple as underlining or highlighting passages.

citation

A paraphrase of a passage from a book, or from another person, for the purposes of a scholarly paper.

The Purpose of the Annotated Bibliography

An annotated bibliography is a list of all the sources you have researched, including both their full bibliographic citations and some notes on how you might want to use each resource in your work.

Annotated bibliographies are useful for several reasons. If you keep one while you research, the annotated bibliography will function as a useful guide. It will be easier for you to revisit sources later because you will already have notes explaining how you want to use each source. If you find an annotated bibliography attached to one of the sources you are using, you can look at it to find other possible resources.

Understand your notes

Annotated bibliographies include notes that explain what you found useful in each source, making it easier for you to refer back to appropriate sources later.

Constructing Your Citations

The first part of each entry in an annotated bibliography is the source’s full citation. A description of common citation practices can be found in the section entitled “Citing Sources Fully, Accurately, and Appropriately,” and detailed instructions can be found in the style manual for whatever format your professor wants you to use.

What to Include in Each Annotation

A good annotation has three parts, in addition to the complete bibliographic information for the source:

1. a brief summary of the source
2. a critique and evaluation of credibility, and
3. an explanation of how you will use the source in your essay

Start by stating the main idea of the source. If you have space, note the specific information that you want to use from the source, such as quotations, chapters, or page numbers. Then explain if the source is credible, and note any potential bias you observe. Finally, explain how that information is useful to your own work. 

You may also consider including:should also include some or all of the following:

• An explanation about the authority and/or qualifications of the author
• The scope or main purpose of the work
• Any detectable bias or interpretive stance
• The intended audience and level of reading

Example Annotation

Source: Farley, John. “The Spontaneous-Generation Controversy (1700–1860): The Origin of Parasitic Worms.” Journal of the History of Biology, 5 (Spring 1972), 95–125.

• Notes: This essay discusses the conversation about spontaneous generation that was taking place around the time that Frankenstein was written. In addition, it introduces a distinction between abiogenesis and heterogenesis. The author argues that the accounts of spontaneous generation from this time period were often based on incorrect assumptions: that the discussion was focused primarily on micro-organisms, and that spontaneous-generation theories were disproved by experiments. The author takes a scientific approach to evaluating theories of spontaneous generation, and the presentation of his argument is supported with sources. It is a reliable and credible source. The essay will be helpful in forming a picture of the early 19th-century conversation about how life is formed, as well as explaining the critical perception of spontaneous-generation theories during the 19th century. 

3.5.3: Writing While You Research

Once you have enough notes, you should start writing, even if you intend to keep researching.

Learning Objective

Explain the use of beginning to write your paper during the research process

Key Points

• As you research, let yourself do some preliminary writing. Provide yourself with a space to think through ideas and consider how your ideas are related to each other. This can be a very helpful practice as you move into the writing phase.
• Writing as you read is a way to avoid getting bogged down in researching, which can feel endless as you try to determine what is and is not a relevant source. By causing you to think through your research materials, preliminary writing is a good way to build the specifics of your argument.
• Take notes as you read your sources, since relying on memory will lead to losing information. Similarly, start coming up with the organizational structure and argument of your paper as you gather research.

Key Terms

drafting

The preliminary stage of a writing project in which the author begins to develop a more cohesive product.

note

A mark, or sign, made to call attention to something.

idea

The conception of someone or something as representing a perfect example; an ideal.

We often think of the writing process as a series of discrete steps. We first research, then take notes, then outline, then write. However, in practice, the different phases of writing a paper often overlap. As you research, you begin taking notes. As you take notes, you begin to see how you want to put your argument together and may even start developing an in-depth analysis of some of your sources. Even if you are not officially at the drafting stage of your paper, that’s okay. The research you do will often provide you with insights that you’ll want to include in your argument.

If you have an idea for your essay while taking notes, don’t wait to write it down—start developing it! While the idea is still fresh and clear, take a break from research and start working on your paper’s structure or argument. Writing about issues you discover in your research that you find interesting will take the tedium out of researching and outlining and will help you better understand the format your essay will take.

Once you have enough notes, you should start writing, even if you intend to keep researching. It can be tempting to get bogged down in the research process and avoid moving on to actually writing a first draft. Avoid this impulse by starting to write while still researching. At this early stage, it will still be easy to include new research as you find it.

You may only be able to write one section at a time, or you may start writing a section and realize that you need more support from your sources. Beginning to construct your paper during the research process helps you identify holes in your argument, weaknesses in your evidence or support, and may reveal a need to change the structure or format of your essay. It is often easier to address these issues in an ongoing manner than it is to wait until the end of either the research or writing process. 

Active research

Don’t just read passively—take notes throughout the research process.

3.5.4: Incorporating Your Sources Into Your Paper

There are several ways to properly incorporate and give credit to the sources you cite within your paper.

Learning Objective

Name the ways of incorporating outside sources into your paper

Key Points

• There are three methods for referencing a source in the text of your paper: quoting, summarizing, and paraphrasing.
• Direct quotations are words and phrases that are taken directly from another source, and then used word-for-word in your paper.

• A summary is typically a short description that outlines the most important points and general position of the source.
• A paraphrase is when you put another source or part of a source (such as a chapter, paragraph, or page) into your own words.
• You should follow quotes with a description, in your own terms, of what the quote says and why it is relevant to the purpose of your paper. 
• Follow the style guide you are using to properly format and cite your quotations and borrowed information.

Key Terms

quotation

A fragment of a human expression that is being referred to by somebody else.

paraphrase

A rewording of something written or spoken by someone else.

summary

A short description that outlines the most important points and general position of the source.

How to Use Your Sources in Your Paper

Within the pages of your paper, it is important to properly reference and cite your sources to avoid plagiarism and to give credit for original ideas. Depending on which style guide you are using (e.g., APA, MLA), you will follow different methods to format your text to refer to others’ work.

There are three methods for referencing a source in the text of your paper: quoting, summarizing, and paraphrasing.

Quoting

Direct quotations are words and phrases that are taken directly from another source, and then used word-for-word in your paper. If you incorporate a direct quotation from another author’s text, you must put that quotation or phrase in quotation marks to indicate that it is not your language.
When writing direct quotations, you can use the source author’s name in the same sentence as the quotation to introduce the quoted text and to indicate the source in which you found the text. You should then include the page number or other relevant information in parentheses at the end of the phrase (the exact format will depend on the formatting style of your essay).

Summarizing

Summarizing involves distilling the main idea of a source into a much shorter overview. A summary outlines a source’s most important points and general position. When summarizing a source, it is still necessary to use a citation to give credit to the original author. You must reference the author or source in the appropriate parenthetical citation at the end of the summary. 

Paraphrasing

When paraphrasing, you may put any part of a source (such as a phrase, sentence, paragraph, or chapter) into your own words.

You may find that the original source uses language that is more clear, concise, or specific than your own language, in which case you should use a direct quotation, putting quotation marks around those unique words or phrases you don’t change. It is common to use a mixture of paraphrased text and quoted words or phrases, as long as the direct quotations are inside of quotation marks. 

Providing Context for Your Sources

Whether you use a direct quotation, a summary, or a paraphrase, it is important to distinguish the original source from your ideas, and to explain how the cited source fits into your argument. While the use of quotation marks or parenthetical citations tells your reader that these are not your own words or ideas, you should follow the quote with a description, in your own terms, of what the quote says and why it is relevant to the purpose of your paper. You should not let quoted or paraphrased text stand alone in your paper, but rather, should integrate the sources into your argument by providing context and explanations about how each source supports your argument. 

The writing process

Signaling who is saying what is an important part of the writing process.

3.6: Citing Your Sources

3.6.1: The Importance of Citing Your Sources

To avoid plagiarism, one must provide an accurate citation every time information is used from an outside source.

Learning Objective

Identify the different types of citations and where they should appear in a paper.

Key Points

• An accurate citation includes complete reference information written in a regulated format. This should allow the reader to find the complete resource that was cited.
• Types of citations include parenthetical (in-text) citation, footnote, endnote, and full citation of all sources.
• A complete reference section (often titled “References” or “Works Cited” depending on citation style) comes at the end of your paper and lists all cited sources in alphabetical order. 
• There are several different formats for citations, including MLA, APA, and Turabian style (also known as Chicago style or CMS). Rules for each of these styles are given in style manuals; they include detailed explanations and examples of how to cite sources correctly.
• Ask your teacher what specific style they want you to follow for your citations; typically they will want one style for all work submitted.

Key Terms

plagiarism

The copying of another person’s ideas, text, or other creative work, and presenting it as one’s own, especially without permission.

in-text citation

Reference information for a particular source presented within a paragraph, either as a parenthetical or integrated into a sentence.

footnote

A short piece of text, often numbered, placed at the bottom of a printed page, that adds a comment, citation, reference, etc., to a designated part of the main text. 

What Do You Need to Cite?

Any time you use specific material from an outside resource, you need to provide a citation that says exactly where you found that information. “Specific material” refers to quotations, detailed paraphrases, summaries, and images or graphs. If you use any of the above sources without citing them, you are committing plagiarism. If you are ever unsure whether to cite a source or not, you should cite the source. It is best to err on the side of caution to avoid plagiarism.

At the college level, plagiarism is an extremely serious offense. Students who plagiarize, whether intentionally or unintentionally, risk academic consequences that range from failing an assignment or a class to expulsion. Learning how to cite your sources is more than a stylistic requirement—it is a matter of academic integrity. 

You will cite resources in two places: a brief citation in the text of your paper (in-text citation), and a full citation in a reference page at the end of your essay.

In-Text Citations

In-text citations come in two forms: the parenthetical, and the footnote (or endnote).

Parentheticals

Parenthetical citations include the necessary information in parentheses after a sentence. Parenthetical citations should include only enough information to direct the reader to the specific information you are citing. Most citations will require only the last name of the author and the page number where the information comes from, but this will vary according to the style manual you are directed to use by your professor. The following is an example of a parenthetical citation:

Aldiss claims Erasmus Darwin was an influence on the Romantic poets who surrounded Mary Shelley, describing his thought as “seminal” (Aldiss, 13).

Footnotes and Endnotes

Footnotes include a number at the end of the sentence that directs the reader to the appropriate note at the bottom of the page. Endnotes are exactly like footnotes, except the notes are at the end of the paper rather than at the bottom of the page. Footnotes and endnotes can be used both to cite a source, to provide additional information, or to provide context for a word or concept in your text. 

For more detailed instructions, as well as information on what to do in exceptional circumstances, consult a style manual for whichever format is required.

Reference Section

Since in-text citations are kept brief, you will need to provide the full bibliographic details of your sources outside of the text of your paper. This is done in a reference section at the end of your paper. The name of this page differs depending on the style (MLA calls it the Works Cited section; APA calls it the References section). This page serves the same purpose for each style: it comes at the end of your paper and lists all your cited sources in alphabetical order (typically by the author’s last name). 

Citation Style Manuals

Writing citations requires that you follow detailed formatting rules. There are several different formats, including MLA, APA, and Turabian style (also known as Chicago Manuscript Style). Rules for each of these styles are explained in style manuals, which include detailed explanations and many specific examples of how to cite things correctly.  Most style guides include sections on citing online sources; writers should pay extra attention to the rules for verifying and citing sources from the web. Many publications and professors now require authors to run their papers through online plagiarism tools to ensure writing is original.  

Your professor will most likely indicate the specific style that you should follow depending on the subject for which you are writing, so be sure to follow the correct style guide! You should find a copy of a style manual, either online or in print, and consult it frequently. It may seem tedious and fussy, but accurate citations are a necessary component of any reputable essay.

Understand your notes

Annotated bibliographies include notes that explain what you found useful in a source, making it easier for you to refer back to a source later.

2.1: Overview of the Process of Writing a Paper

2.1.1: Introduction to the Writing Process

Learning Objective

Outline the steps of the writing and revision process

Key Points

• Each step of the writing process helps to build a strong paper.
• The steps of the writing process are prewriting/choosing a topic, researching, outlining, drafting, revising, editing/proofreading, and the final review.
• As you become familiar with the “recipe” of writing and its components, you will feel increasingly comfortable and creative in the writing process.

Key Terms

expository writing

Derived from the word “expose,” expository writing seeks to expose, explain, describe, define, or inform.

recursive

Pertaining to a procedure that can be used repeatedly. In composition, a writer may return to the tasks of a previous stage once informed by the activities of a current stage.

writing process

A series of overlapping steps writers use in composing. The process may differ based on the purpose and form of the composition.

The Writing Process

In high school, students usually submit their work in multiple stages—from the thesis statement to the outline to a draft of the paper, and finally, after receiving feedback on each preliminary piece, a completed project. This format teaches students how to divide writing assignments into smaller tasks and schedule these tasks over an extended period of time. In college, it is your responsibility to break large assignments down into smaller projects so you do not have an unmanageable amount of work at the last minute.

We should first address the common resistance to form. Beginning writers often protest that imposing formal rules on writing contradicts the notion of writing as a creative art. Sometimes, however, working within a form actually enhances creativity. Approaching the process of writing the same way each time builds facility and ease into your writing. You become familiar with the progression of the project, knowing that each stage has a specific purpose in the creation of a strong final product.  

A Recipe for Good Writing

The seasoned baker no longer pulls out the cookbook every time she wants to bake a cake. In fact, she might charge into the pantry looking for new and interesting ingredients, like chili powder for the chocolate icing. But there was a time when she followed the recipe step by step and by doing so learned exactly what happens when you leave out one ingredient or overdo another. Think of the following chapters as your cookbook for writing a successful paper and look forward to the day when you can focus more on being creative with spices than on learning the recipe.

Here, then, are the steps of the writing process: our “recipe” for good expository writing. As you read them, consider what might be entailed in each step. Imagine what you’ll be doing and why it could be useful in creating a successful final paper.

• Step 1: Prewriting and Choosing a Topic
• Step 2: Researching
• Step 3: Outlining
• Step 4: Drafting
• Step 5: Revising
• Step 6: Editing and Proofreading
• Step 7: Completing a Final Review

Can you figure out why you might need each step? Start thinking of some questions to ask as you move forward. Your question might be “Why in the world would I want to spend precious time outlining?” You might ask, “Why does there need to be a step for revising and then a separate step for editing and proofreading?” You might wonder how to approach the drafting phase without feeling overwhelmed, or you might be curious about the brainstorming methods we recommend.

It’s important to recognize that writing is a recursive process. Just as you taste when you cook, then go back and add more of something to enhance the dish’s flavor, while you are writing you’re regularly going back to earlier stages or jumping forward in the process as needed. Though there are reasons for using the particular steps above, they are part of a flexible process that’s there to serve you, the writer.

Techniques in Depth

Once we’ve explored each of these steps, we’ll delve deeper into some of the more nuanced techniques involved in creating a strong argument.  

Section 3 examines the process of developing a thesis from the brainstorming stage through to the final statement. Everything in a paper is organized around the thesis statement. How do you know when you have one that is strong enough to hold a paper together?

Section 4 guides you through building a narrative that makes sense for your topic and purpose. The narrative is where the writer creates a kind of magic with the power of persuasion. What are the practical tools behind this mysterious process?

Section 5 looks at the supportive use of quotations and paraphrasing, answering questions about formatting, appropriate use of quotes, and other issues. Is there skill behind the choice of when to use a quote and when to paraphrase, or is it a random selection?

Section 6 addresses the strategy of incorporating into your paper possible objections to your argument. But is it wise to make your opponents’ argument for them, and if so, should you weaken their arguments in order to strengthen your own?

Try looking at each stage of the writing process as a necessary ingredient for a cake, and you’ll begin to respect each step for what it offers your final product. No one would want to eat flour by itself, but leaving it out of the mixing process would spell disaster for dessert (unless you are making flourless cake). Similarly, while you may find the idea of researching or proofreading distasteful in isolation, you’ll learn to appreciate and even enjoy each step of the process for what it contributes to the whole.

2.1.2: Introduction to the Thesis Statement

Learning Objective

Distinguish between a defensible thesis statement and a fact

Key Points

• One of the key elements of a good thesis statement is tension between two ideas. 
• The focus of your thesis should be narrow enough for you to be able to cover the topic thoroughly.
• Your thesis should be specific, in order to grab the reader’s attention.
• Once you have a thesis statement, you’ll want to gather evidence both for and against the statement.
• Creating a thesis and researching go together. One process informs the other, and you will often need to go back and forth several times to create a solid thesis that can be backed by research.

Key Terms

thesis

A claim that a writer must use evidence to defend.

defensible

Capable of being defended or justified.

Imagine you’re having dinner with a few friends. Over dessert and coffee, one friend says, “Professor Ellis is my favorite.” His statement might elicit a few nods and a comment or two. Another friend takes it up a notch: “I think Dr. Ellis is the best professor at the school.” With this statement, your friend has taken a stand, which can inspire some interest and debate. In response, another friend says, “You guys seem to think that being a good professor is all about how available and nice he or she is to the students, but I think it has a lot more to do with the professor’s commitment to scholarship. In fact, I think that while Dr. Ellis might be the most popular professor, Dr. Cassidy is, objectively speaking, actually the best.” Is this last statement a little more provocative? Might your guests pour a second cup of coffee and stay a little longer? Why?

Making a Claim

Strong academic writing takes a definitive stance on the topic it is covering. Rather than simply reporting details, academic writing uses details to try to prove a point. This point is often called your “thesis statement,” a sentence that expresses your point of view on the topic, which you will support with evidence and research. The key element of a thesis statement is that it is not a fact: it is a claim, something that you have to use evidence to prove. Your thesis is the backbone of your paper, and every fact and idea you add to your paper will support it.

At the dinner party, your friend will give reason after reason why crotchety Dr. Cassidy is actually the superior professor, supporting each reason, we hope, with facts he can back up. By the end of the evening, you may go home with a new respect for Dr. Cassidy’s body of scientific research, his ability to make students strive much harder than they do in Dr. Ellis’s classes, and his consistent grading policies. If so, your friend will have changed your mind. And it all began with his provocative statement: his thesis.

Elements of a Strong Thesis Statement

Focus

You’re going to need to make your case within the scope of one paper, so the focus should be narrow enough for you to be able to cover the topic thoroughly. If you’re writing a three-page history paper about the Vietnam War, don’t set out to prove an enormous claim about the entire conflict. Pick a sub-sub-topic you are interested in, like guerrilla warfare in tropical climates or the use of military helicopters in rescue missions, and focus your thesis statement on what you can prove about that smaller chunk.

Specificity

You want the reader to be drawn in immediately to the heart of the argument. That means naming names — for example, not “One theme in Hamlet, is vengeance … ,” but “In Hamlet, Fortinbras, Laertes, and Hamlet all seek to avenge their fathers …”  

The “So What?” Factor

Good writing makes readers care about the topic. When you set out to write and prove your thesis statement, don’t simply have the goal of saying, “This is my claim and here’s evidence to support it.” You’ll want your writing to boil down to, “This is my claim, here’s why it matters, and here’s evidence to support it.” 

Crafting Your Thesis

There is more than one way to write a thesis statement for an academic paper. The most important element is that you are making an original claim and then using facts and evidence to support it. However, there are many ways to express your claim. All of these ways engage with the currently existing body of academic writing, but add something new: your ideas, framed as a claim based on evidence.

Tension

One technique for writing a thesis statement is arguing against an existing view. Think of the construction as, “While ____, actually ____.” Your guiding thread through the paper will be to convince those who think the first thing that the second thing is actually true.  

Here are two examples of thesis statements with embedded tension:

While

organizations

like the American Nazi Party and the Ku Klux Klan may pose a real danger to individuals and the fabric of an integrated society, the tenets of democracy demand that their right to free speech be protected by the American Civil Liberties Union.

While the American Civil Liberties Union has a responsibility to protect free speech, this responsibility is based on preserving democracy and should therefore not be extended to hate groups like the American Nazi Party and the Ku Klux Klan, groups which have as their aim the segregation and division of society.

Whichever side of the issue is taken, you can see that there is inherent tension because of the “While ___, actually ___” construction.

Refining

Another way to introduce a defensible thesis statement is to refine an already existing idea: take a generally accepted conclusion and stretch it further. There are as many opinions as there are people in the world, and it can be useful to use someone else’s idea as a foundation for your own. However, remember that good theses are based on original opinions. Avoid parroting someone else’s; rather, reference and build upon it.

Analyzing

Thesis statements can be used to provide your own original analysis of something, whether it is a historical event, a piece of literature, or a scientific phenomenon. A thesis statement can be a hypothesis, which you set out to prove through evidence. It can be a connection that nobody has ever thought of before. The key element here is that you are looking at already existing facts and opinions, and then putting them together to prove your idea.

Addressing Counter-Arguments

Once you have a thesis statement, you’ll want to gather evidence both for and against the statement. You might even want to create, as was done above, a thesis statement that is the opposite of yours and look for research proving both of them. (This is a debating technique that allows the debater to skillfully parry any counter-argument.) Including counter-arguments in your paper is a technique we’ll discuss in the drafting section. For now, be sure to collect information on both sides of your thesis.

Make a list of the strongest arguments for and against your thesis statement. You’re not thinking so much in terms of numbers here but rather strength. If you can’t make several strong points, you may want to re-work the thesis.

Creating a thesis and researching go together. One process informs the other, and you will often need to go back and forth several times to create a solid thesis that can be backed by research. Just keep following your interests, your curiosity, and the process will stay enjoyable.

2.2: Steps of Writing a Paper

2.2.1: Step 1: Prewriting and Choosing a Topic

Prewriting can help you take a general topic and make it more specific.

Learning Objective

Explain the different types of prewriting exercises

Key Points

• During prewriting exercises, it is important to record everything that comes to mind without editing as you write. You can use the various techniques to generate a number of different ideas to choose from to formulate your topic.
• Brainstorming can help you find where your true interests lie and what part of a topic you might want to delve into further.
• Freewriting can help you generate new ideas about a topic by writing nonstop, without editing, for a set amount of time.
• Clustering, or concept mapping, can help you refine your thoughts and narrow the scope of a topic by making a map or diagram of different ideas you associate with a central topic.

Key Terms

brainstorming

A prewriting technique intended to generate creative ideas quickly and without editing, through word  or idea association.

freewriting

A prewriting technique in which the writer writes continuously for a set period of time without regard to spelling, grammar, or topic.

concept map

A diagram that shows the relationships between concepts. Concepts are written in circles or rectangular boxes, which are connected by arrows that are labeled with phrases such as “is a,” “gives rise to,” “results in,” “is required by,” or “contributes to” that denote the relationships between concepts.

Outlining

A prewriting activity that allows you to organize to your ideas by placing them into an ordered sequence of primary and secondary ideas, which shows the relationship of the parts to the whole. 

clustering

A prewriting technique consisting of writing a central idea in a circle on a sheet of paper, adding related ideas around the circle, and connecting them with lines to show how they related to each other.

Writing often feels demanding and difficult because you are doing two seemingly contradictory things at the same time: creating and containing. You want your ideas to flow like a river, swift and strong, but if you pour out your ideas indiscriminately, the river will overflow its banks. You have to be judicious about the amount of information you include and selective with your word choices. Both freedom and structure are necessary to contain and direct the flow.

When you have no idea what to write about, prewriting can help get ideas flowing. Prewriting refers to what you do before you begin writing, whether that’s brainstorming, making a concept map, or making an outline.  By prewriting, you can give organization and logical coherence to your ideas.  You might be tempted to save time by skipping the prewriting stage, but, ultimately, putting a little extra work in at the beginning can save you time—and stress—especially when you’re writing a paper close to your deadline. The tools used in the prewriting stage can be used at any point in the writing process to help you clarify your ideas, to help you decide what direction to take, and to nurture creativity when you’re feeling stuck.

Brainstorming, freewriting, and clustering are three forms of prewriting that help spark ideas and can move you closer to the heart of what you think and feel about a topic. And, yes, even in an expository composition, heart matters! You’re much more likely to write an interesting paper if you care about the topic. Let’s explore how these three primary methods work.

Brainstorming

You might have heard the phrase, “There are no bad ideas in brainstorming.” This is another way of saying that it can be helpful to gather all of your ideas about a topic (even the bad ones) just to get started. This process is called brainstorming. You do this with another person or in a group, and each person contributes thoughts about the subject in a rapid-fire way. Afterwards, you can pick the best ideas and compile a list.  Often, in the process of brainstorming, you will discover that many of your ideas are already connected to one another.  Having these connected ideas already laid out will help you to form an outline more easily.

Notebooks

Freewriting can be a great way to get ideas moving.

Freewriting

Freewriting can come in handy if you have a general topic but are not sure what you want to say about it. The purpose of freewriting is to help you develop ideas spontaneously and naturally. Set yourself a time limit, and then start writing about your topic, recording thoughts in full sentences as they come into your mind. Do not edit as you go or even look back at what you have written, and try to avoid any distractions. Just keep writing as thoughts occur to you. 

Clustering

The goal of clustering, or concept mapping, is to generate lots of ideas about a very broad topic, much like freewriting. You begin by writing down a key word in the middle of a blank page. You continue without pausing to jot down the words you associate with the key word, circling them, and drawing a line to connect them with the key word. As each word triggers new ideas, you write those down, circle them, and connect them with the word that inspired them, radiating out to create a concept map. You can then choose the ideas you think are best suited for your assignment and use the organization of the concept map to guide your writing.

Outlining

After collecting your ideas, but before turning them into an essay, many people find it helpful to produce an outline.  Outlining shows how particular ideas fit—or don’t fit—into a cohesive whole.  You designate your primary ideas and group subordinate or supporting ideas underneath them.  This is the first stage in structuring the essay itself.

2.2.2: Step 2: Researching

Researching your subject is an important step in writing because it helps you narrow your focus.

Learning Objective

Identify useful techniques for the research process.

Key Points

• Research is done to back up claims and verify specific data.Research is done to inform your own opinion, not to echo others’ thoughts.
• Continually asking increasingly specific questions about your topic will help keep your research focused and under control.
• Staying open to alternative ideas during the research phase will make for a better-informed opinion and a stronger paper.
• Keeping records of resources as you do your research will make the writing process less daunting.
• A strong thesis statement is specific, focused, and holds tension between ideas.
• Using prewriting techniques during the research phase can help refine and reorient the direction of research.

The primary thing to keep in mind during the research phase
is that you’re seeking primarily to inform your own thinking on the topic. You’re not looking at what others have written in order to provide you with an opinion. The point of
writing the paper is to explore your own thoughts about a topic. Research also helps you verify specific data and back up any claims you may make in your paper. 

It’s useful to begin with a few questions related to your topic. These should be aspects of the topic that have made you curious. If you haven’t found such questions, do some more prewriting exercises to get your creative juices and intellectual passions flowing.

The attitude with which to begin searching is, “I want to know what other people have discovered when examining the same question.” At this point you’re not looking for evidence to prove a position. Your mind is open to all the possibilities. Think of it as gathering all the best thinkers on this topic in one room to have a discussion. You’re the moderator of the discussion, and you want to hear from everyone before you make up your mind. If you keep this mindset during the research phase, you’re more likely to write an engaging final paper.

Narrowing the Scope

Of course, with the vast amount of information available at our fingertips today, it’s unlikely you’ll be able to read everything ever written on a topic. It’s useful, therefore, to create some guidelines for your search that will narrow the pool.

Ask yourself, for example, whether your topic has a timeless quality or is best informed by recent opinion. A paper exploring whether Hamlet’s goal of revenge was achieved could draw on sources from all ages, whereas the theme of revenge in recent political events would require current sources.

When you write expository essays, you hear a lot about primary and secondary research. A primary source is authored by the person who conducted the study, or who created the particular theory or line of thought being discussed. Secondary sources may quote primary sources to support a point or draw conclusions from examining many primary sources. Most of the time, it’s useful to initially consult secondary sources because they can point you toward the primary sources that most interest you. 

For the purpose of your paper, you’ll want to quote the study or the thinker (the primary source) directly—first, because you want to be sure you really understand what the author is concluding (secondary sources can misrepresent the primary source), and second, because by reading the primary source, you’ll get the whole picture, rather than just the part selected by the secondary source’s author. Remember, you’re assembling the best thinkers, and you want to understand all of their arguments.

Diving In

So, how does one begin? With all the cautions about not using the Internet for research, if we keep in mind that we’re after primary sources, we needn’t be afraid of using a search engine to begin our investigation. While Wikipedia isn’t acceptable as a source itself, it can certainly give us a starting point. Putting your question right into your search engine can start you on a treasure hunt. Even just scanning the list, you can jot down some ideas that help better define what you’re interested in finding out. As you click, you can begin to follow “clues” to what leading thinkers or researchers (depending on my topic) have concluded.

Here’s how a student might winnow a research topic about the women’s movement in the 1970s. She begins with the question, “How has the women’s movement of the 1970s affected today’s women?” Putting that question into a search engine yields many articles, some very recent. Reading a few of these (and taking notes as she goes on exactly where she got her information) leads her to make the statement, “Largely due to the radical feminist faction of the 1970s women’s movement, girls born in the twenty-first century have opportunities and expectations well beyond what was possible for those born in the middle of the twentieth century.” Though this will not be her final thesis statement (find out why, below), it is narrow enough for her to start finding more specific information.

Be Ready to Change Course

As you narrow the scope of your research, you’ll be finding out things you didn’t know and encountering perspectives you hadn’t considered. Resist the temptation to ignore that which contradicts the conclusion you were heading toward. You might actually change your mind in the course of your research, and that just shows how flexible your thinking is. You can also keep an open mind about how you’re going to present your paper. The student above, for example, may find so many comparisons in her reading to the women’s suffrage movement that she becomes intrigued and writes an essay contrasting the ERA campaign with the campaign for women’s suffrage.

Back to the Drawing Board

At any time during the research process, you can clarify your thinking by using one of the prewriting exercises. Sometimes, a concept map can be of use during this phase, helping you see how things are related. You might find that what you thought was the central question is actually one of your arguments, and most of your lines come off a different bubble, which you can decide to make your thesis.

How Researching Can Go Wrong

Too Many Sources

Continually making your search more specific will help you avoid getting overwhelmed by research.

The reason some people dread research is that they feel overwhelmed. It’s easy to do if you continually look at all the information available on a topic. It’s simply impossible to read and digest all that information! The solution is to recognize that you’re in control of the process. You have a question, you find information that informs you, and you make your question more specific. You keep at it (a more specific question, finding a variety of well-thought-out answers to the question, which lead to a still-more-specific question) until you feel confident creating a statement you can stand behind. 

Another thing that can trip us up is neglecting to keep track of where we find what. There are useful software programs designed to help organize quotes and points with their source material, but all that’s necessary is pen and paper or a computer document. As you read, if you find something relevant, immediately make a note of the reference material for that source (book, article, website) and then underneath, enter the relevant research. There are more complicated methods for longer papers, but generally this works fine for essays. Just be sure you know in advance what form your references will need to take, so you gather all the information you’ll need. You don’t want to have to seek out every source again when you’re writing your reference page. Ideally, you’ll code each piece of text you put into your paper so that you always know which reference it’s attached to, even if you move it around in the paper. 

2.2.3: Step 3: Outlining

After you choose your topic and assemble your research, organize your ideas before you start drafting.

Learning Objective

Recognize the different uses for an outline as a tool

Key Points

• Outlining the structure and organization of your paper before you start writing will save you time and help you form a stronger argument.
• The order in which you lay out your evidence can determine how convincing your argument is to your readers.
• Assembling an argument is a three-step process: (1) drawing conclusions based on evidence; (2) clearly explaining how you drew those conclusions; and (3) structuring your argument for maximum impact.

The Purpose of the Outline

Now that you have chosen your thesis statement and researched evidence to support your various claims, you need to organize it all into a coherent, logical structure.

An outline is a great way to troubleshoot and firm up your argument before you commit to it in a draft. It’s like planning out a route before you take your trip: it will save you a great deal of time and will help you foresee roadblocks before you get to them. You’ll be able to see whether you have enough evidence to support a given claim, whether your claims support your larger thesis, how to link your arguments and counter-arguments, and what order of presented evidence feels most powerful.

Putting the pieces together

Once you have the elements of your argument, you need to connect them together in an outline, forming the skeleton of an argument that makes sense.

Getting Started

1. Write your first claim/point on an index card, and then write each piece of supporting evidence on half an index card. (You can use shorthand for the research—as long as you know what it is.) Put all of your ideas on these cards, so you can get the full picture.

For example:

• Claim: Public-service campaigns designed to change consumer habits regarding electrical use, while successful, have had only minimal impact on factors contributing to climate change.
• Evidence: Study 1: Household electrical use falls by __% after consolidated ad campaign by environmental lobby.
• Evidence: Study 2: Scientists report that much more must be done to stem climate change. Lowered power usage by consumers is not sufficient.
• Evidence: Study 3: Pie graph showing reasons for climate change.
• Backing: Mention recent weather disasters?

2. Do the same with the other claims and pieces of evidence.

3. Now you can rearrange the pieces of evidence as necessary to go with the most appropriate claim. For example, the third piece of evidence, above, might not be necessary for that particular claim, because the other evidence is strong enough. The pie graph might make more of an impact if you wait and include it with the claim about the agricultural environmental footprint. You might also decide that the additional backing about recent weather disasters makes your argument weaker, rather than stronger, because it isn’t evidence-based and has little to do with the claim.

4. Once you’re fairly sure of your order, put tape on the back of the index cards and tape them, in outline form, onto a piece of poster board with the thesis written at the top. Leave this somewhere prominent in your work space, so you can make changes as they come to you.

Questions to Ask Yourself

There is no easy-to-follow formula for creating the perfect argument structure. The way you organize your paper will vary depending on what your goal is and what elements of the argument you want to emphasize. In general, ask yourself the following questions:

• Does the thesis introduce and give context for the discussion that follows?
• Do any ideas lack a foundation that needs to be addressed earlier in the paper?
• Does every claim have the evidence necessary to support it?
• Have you weeded out extraneous evidence?
• Do you want to lead with your strongest claim, or do you want to save it for the end of your paper so you can finish on a strong note?
• Where do you need to make claims explicit, and where will your audience understand them even if they are only implied?
• Where do you want to address your opposition? Does it make more sense to do it early on to preempt audience objections, or would you be better off building up your argument before addressing any counter-arguments?

The outline stage allows you to experiment with different ways of organizing. You can (and probably will) change the structure of your argument when you draft your paper, and perhaps again when you revise. If you plan your structure but realize that it isn’t working once you sit down and write, feel free to move elements around. 

Using the Outline as a Tool

Here are some ways to use the outline to make a better argument.

• Read your thesis, claims, and evidence out loud to a friend. Ask your friend if the argument makes sense and what he or she would change to make it stronger. Ask what was the strongest part of the argument and why (so you can decide both where to put the strongest punch and how to shore up the other claims).
• Leave enough time after creating your outline to get at least a night’s sleep before writing your first draft. Often, some time away will allow your mind to reveal problems with the argument and may even provide the solutions!
• If you find that your argument doesn’t feel very strong, don’t hesitate to go back to the research phase to find additional evidence. Most successful writers go back and forth from stage to stage often as they write. As you learn more about both the topic and the argument you want to make, you’ll have a clearer idea of the kinds of studies to look for. As you find additional evidence, you may decide to create a new claim or even to tweak your thesis.
• Play devil’s advocate. Looking at your outline board, come up with counter-arguments and questions for each claim. You can even put these on the board on different color index cards. Make it your goal to address these questions and counter-arguments sufficiently in your essay.
• Think about transitions. Does one topic lead naturally to another? How is the subject of each paragraph related to the subject of the next paragraph? After each claim, ask, “What does the reader need to know next?” You may need to rearrange the order based on the ease of transition from one topic to the next.
• For each index card (each claim, piece of evidence, each backing concept), ask yourself, “How is this important to the thesis?” If you can’t answer, consider that you may be using evidence simply because you collected it, not because it supports the overall idea of the essay.

2.2.4: Step 4: Drafting

The drafting phase creates a coherent path for the reader to follow from thesis to conclusion.

Learning Objective

Describe the different types of paragraphs in an essay

Key Points

• The drafting phase is about leading the reader down the path of evidence to reach the conclusion you set out in your thesis statement.
• The introduction needs to be both interesting to the reader and a coherent guide to the paper.
• Each body paragraph contains one point and the evidence to support the point.
• Evidence should not be used to support more than one point.
• Anticipatory questions should guide body construction.
• The conclusion synthesizes, rather than restates, the argument.

Your thesis will condense a series of claims into one or two sentences. To prove your thesis, you will need to articulate these claims and convince the reader that they are true. Consequently, the majority of your paper will be dedicated to presenting and analyzing evidence that supports your claims.

By the time you start writing, you should already have conducted research and assembled your evidence. You should also know from your outline which pieces of evidence you want to use to back up each claim. What you have probably not finished working out is how you want to present those pieces of evidence and tie all the claims together. The first draft is the time to focus on doing that.

Drafting Best Practices

Writing drafts makes the work more manageable. It also builds in the time necessary for your brain to integrate the information and come up with new ways to present it. With that in mind, here are some ways to maximize the benefits of drafting:

Write without editing: Drafting gets your ideas onto paper, which gives you more to work with than the perfectionist’s daunting blank screen. You can always return later to fix the mistakes that drove you crazy. If you get stuck, just jump to the next paragraph. At this stage, your goal is to keep writing. 

Allow time between drafts: One of the great benefits of writing a series of drafts is that it allows your brain to sift through the information layer by layer. When you write and then take a break, especially if the break includes a good night’s sleep, the next time you approach your paper you’ll have new ideas, and problems will be solved. 

Recognize that you may need to narrow the scope of the paper: If you’re feeling overwhelmed and trying to manage mounds of evidence, it may be that the scope of the paper is simply too large. The drafting stage is about seeing what works and what doesn’t, so don’t hesitate to trim, discard, and shift as necessary.

Revisit prior stages of the process as needed to move forward: If you’re feeling stuck or unsure, go play with your outline. If you haven’t already put your points on index cards, do that now so you can move them around. If you’re finding that your evidence seems scanty, go back to the research phase. And if you need creative inspiration, doodle a concept map around your paragraph’s claim or chat about it with a friend. Try not to resist these steps “back”—writing is not linear, it’s iterative. Enjoy the benefits of that.

Evidence

The first thing you should assemble is evidence. You cannot make a good argument unless you have strong evidence in sufficient amounts. It is the foundation of the rest of your paper—every claim you make and conclusion you draw must be backed up by the evidence you present.

Evidence can come in many forms: data, written reports or articles, graphs or visual representations, even anecdotes and interviews. Choose whatever forms work best for your argument. While it is important to provide enough evidence to support your argument, be selective about what you use. It is better to choose several very convincing pieces of evidence than to have many different pieces that are only vaguely convincing. Also be careful about how reliable your evidence is. Faulty evidence can damage the credibility of your entire paper, so make sure that everything you use is accurate and comes from a trustworthy source.

Next, you want to be clear on what conclusions you are drawing. Make sure that every conclusion corresponds to some piece of evidence. Also have an idea of how you want to organize your conclusions, particularly the order in which you will present them. Conclusions should build on each other. Figure out how they fit together before you start writing, and your paper’s structure will benefit from it.

Warrants are the way in which you link evidence to conclusions. Broadly speaking, “warrant” refers to the explanation of your reasoning. Even though you will not state every warrant openly, you need to make sure that they all hold up under questioning. If required, you need to be able to articulate to the audience why evidence supports claims and conclusions. You should also have an idea of what parts of your argument are complex or important enough that your warrants will need to be stated explicitly.

Paragraph Types

You have your thesis and all of the points of argument and counter-argument mapped out, along with their supporting evidence. The thesis often appears in the opening paragraph of the paper, although you may choose to construct a different form for your paper. Each point of argument or counter-argument will have a paragraph of its own. You’ll want to conclude the paper by bringing the points together and giving the reader a sense of closure.

Introduction  

Your paper’s opening lets the reader know what the topic is and, usually, leads him or her to your thesis statement.  

Guidelines for construction:

Consider writing the introductory paragraph(s) last, rather than first: It’s easier to introduce something you know thoroughly. Also, it’s vital to be creative in this first paragraph, and after you’ve written your paper, you’ll feel freer to play with words and ideas. You can go back to the prewriting exercises to spark ideas for the approach you’ll take.

Let your topic and style of argument guide your method of introduction: A controversial topic that includes strong parries with counter-arguments might best be introduced by a provocative statement. A story about how the topic garnered your interest might be an inviting introduction to a paper that includes personal anecdotes. You might decide to begin with the question or conundrum that leads to your topic sentence. An analogy or metaphor could be a way to introduce a subject that’s difficult to understand or is well-worn and needs a new perspective. Some topics are best described with imagery. Don’t limit yourself to pedantic facts that plod toward the thesis statement.

Make it interesting for the reader: A good writer always keeps in mind that there’s potential for publication in every piece of writing. Even if on the first round there will be only one reader, write as if you have a broad audience. You need a strong start if you want the reader to read more than the first few sentences. You make it interesting by making strong statements. If it doesn’t captivate you, it won’t interest your audience. Take a risk and be bold. Why should anyone care about this topic Show us!

Also make it a coherent guide to the paper: At the same time as you’re making your introduction intriguing and captivating, you want to make it logical. You needn’t give away the secrets of your argument in the introduction (e.g., “I will show that this thesis is true by proving X, Y, and Z”), but you will need to create a clear path to the thesis and give us an idea of the terrain we’ll be crossing.

Example:

He’s eighteen years old, this soldier, just out of public school. The cliche about not being able to grow a full beard actually applies, and he’s cut himself shaving enough to have tiny scars healing on his thin face. He sits on the ground a few feet from the rubble, open-mouthed and barely breathing. The bomb must’ve been in the engine. The jeep’s door is a yard behind him and his buddies, well, he can’t see all the bodies, but there’s no question that they’re dead. And something inside him is dying too.

This story isn’t as rare as we civilians would like to think. Estimates from the Veterans Administration put the percentage of military personnel with post-traumatic stress disorder (PTSD) between 11 and 20%, and U.S. veteran suicides average one per day. Although the government is up to $2 billion dollars spent on treatment for PTSD, there is a cap on what is offered to an individual. Asking for additional assistance can simply be too stressful for an already vulnerable veteran. Clearly, more of the military’s financial resources must be directed toward rehabilitating men and women who’ve experienced military combat. It is our responsibility as civilians to ensure their treatment and recovery. 

What technique did the writer use to capture your attention? Did it work? What other elements of a good introduction did you notice here? What elements are missing? Can you find the thesis? What do you think about the use of statistics in the second paragraph? What would you do differently if you were introducing this thesis?  

Body Paragraphs

When analyzing your evidence, be as thorough and clear as possible. You may be familiar with the rhetorical strategy of logos, or step-by-step rational argument. It will probably be helpful to adopt that as a model and conduct your analysis through progressive points, each one of which builds off the previous one. Even if it seems like you are oversimplifying things, it is better to give your audience too much analysis than too little. Make sure every step is included, and that the description of your evidence’s purpose is clear. You do not want any part of your process to be ambiguous for your readers, or they may stop understanding or agreeing with your argument.

Revisiting your outline, you’ll see your strategy for building your argument. Whether you start off with your strongest point or a counter-argument, or you reel your reader in slowly, your body paragraphs will each have the following elements:

Each paragraph addresses one (and only one) idea in support of the thesis: Think of each paragraph as a point to be made, and then gather the resources around it. You can have several pieces of evidence in a paragraph, but each piece should be supporting that one point. In turn, of course, each paragraph (each point) supports the thesis. Keep in mind that with each paragraph, you’re wanting the reader to become less skeptical about your thesis. You’re creating an aha moment for the reader with each paragraph’s concluding sentence.

Eliminate redundancy: If you can make only three strong arguments in support of your thesis, don’t try to add more. You’ll weaken your case by muddling the reader. Don’t re-use evidence to support more than one point, either—it activates suspicion in the reader. And don’t make the common mistake of restating your thesis. Each paragraph needs its own focus. You want the reader drawing the conclusion that this point supports the thesis.

Paragraphs that articulate a counter-argument need to refute it: Perhaps it goes without saying, but if you’re going to bring up a counter-argument (and this is an excellent strategy), you need to acknowledge it and then give the reasons it does not lead to the conclusion its proponents espouse. You aren’t trying to make their argument, you’re bringing it up because you know it’s probably in your reader’s mind and you must address it to argue successfully.

Anticipating readers’ questions makes your argument flow: Look at your argument critically, asking yourself the same questions that you would of a scholarly article. Scholarly articles should be evaluated based on criteria such as thoroughness, credibility, and accuracy. Take the same approach with your paper. Think about the sub-claims you will need to make to clarify and support your main argument. If you make a claim, what other things will you need to prove in order to back that up? What assumptions have you made that need to be articulated to your reader? Anticipating readers’ questions and protestations will help guide the flow of the paper and make transitions smoother, as you’ll intuit what needs to come next.

There is a subtle art to transitions: You get a better sense of this art as you read and write more. You don’t want the reader thinking about form—you want the reader focused on your argument. Therefore, you link your paragraphs with transition sentences that make the path clear:  

“So, we’ve found that solar power and wind power are economically viable in Costa Rica, but can geothermal power, with its high initial costs, prove a worthwhile investment over time?”  

You can guess that this body paragraph follows others that discuss wind and solar power, and the thesis is about the use of alternative energy sources. This paragraph will likely show that geothermal power is also viable. As a reader, you have yet to be convinced, but your mind is open: you’re ready to hear whether or not it’s viable. You’re not wondering where the paper is going, and you’re not confused about the writer’s stance. If you find it difficult to create a transition, it may be that you need to move the paragraphs around so that a natural transition arises. 

Conclusion

It’s sadly rare to read an interesting concluding paragraph, but it’s not a difficult challenge if you keep in mind that you’re not restating your thesis, you’re retracing your argument in a new way. Just because you’re not presenting new information doesn’t mean the conclusion must be stale. You have permission to get creative. Here’s what the conclusion must do:

Show how the ideas in the paper work together to support the thesis: You haven’t made your argument until you tie it all together. You’ve led the reader down the yellow brick road, but no heels have been clicked until they’ve read the conclusion. While you don’t want to introduce new points or evidence here, you can certainly use new techniques, like imagery or story. You might take the perspective of a skeptic and experience the argument through his eyes, or you might show us a vision of a brighter future now that your thesis has been implemented. The watchword is synthesis, rather than repetition. 

Tie in the more compelling elements from the introduction and body paragraphs to provide a sense of cohesion: If you used an image in your introduction (think of the soldier from the example above), consider recalling it in the conclusion. This offers the reader a sense of symmetry and completion if it isn’t oversimplified. Similarly, you can recall images or stories used in other parts of the paper. These act as anchors for the reader’s memory, and when memory is triggered, our minds tend to be more open. Think of the crescendo in a piece of music, where the theme is woven together with other elements of the piece, and the listener is moved to tears. Revisiting and weaving, making something new in the process, is what makes a conclusion effective. 

Read over your paper. What stands out to you? What gives you chills? The same will probably be true for your reader. These are the points to recall in your conclusion. Just as a lawyer lays out his case to the jury most powerfully in closing arguments, this is your chance to make your case clearly and concisely.

2.2.5: Step 5: Revising

Revising happens on many different levels of your paper, from individual words and sentences to larger issues of organization and coherence.

Learning Objective

Distinguish between revising and editing

Key Points

• Since the most significant changes will be made at the foundational level, it is best to start there.
• You revise for purpose and organization.
• Make sure that you end up fulfilling your stated purpose and that you remain on-topic for your entire paper.
• Also see if you maintain the same voice throughout the paper or if you ended up making unplanned shifts in tone or vocabulary.
• Taking breaks before, during, and after the revision process will make it easier.
• Letting go of what doesn’t work in the paper is a skill to be embraced and valued as a writer.

Key Terms

purpose

An object to be reached; a target; an aim; a goal.

organization

The way in which something is organized, such as a book or an article.

consistency

In logic, a consistent theory is one that does not contain a contradiction. The lack of contradiction can be defined in either semantic or syntactic terms.

Good writing is essentially rewriting. I am positive of this.  —Roald Dahl

One of the best tools in a writer’s toolkit is the ability to revise. As with the prior stages of writing, it’s actually not a distinct phase that happens only once, but part of a recursive process. Drafting and revising is a dialogue between the inner artist and the inner critic. The artist should not be bothered by the critic while in the creative zone, and the critic should be let loose unfettered during the revision process.

Writing and rewriting are a constant search for what it is one is saying. —John Updike

Revision is almost universally reviled initially, but the more experienced a writer becomes, the more he or she appreciates this pruning process. Revising tightens the argument, strengthens the voice, and smoothes the syntax so you’re left with only the best bits.

In the prewriting stage, we ask the inner critic to take a nice long nap all the way through the first drafting phase, but now we awaken it and put it to work.

Revision

Revising ideas so that they are persuasive, cogent, and form a solid argument is the real work of writing.

When Should I Revise My Paper?

Revision begins after you’ve finished your first draft and is repeated as often as necessary from that stage forward. It’s useful, though, to take at least a day and a night away from the draft, rather than jumping into revising immediately. The break will give you the necessary distance from what you have written to look at it with a critical eye and will give you the psychological space to shift from artist to critic. 

Reviewing

Re-reading completed work is essential for more than just catching typos.

How Should I Get Started?

We first need to distinguish revising from editing. You’re going to have a separate round of going through your paper to fix grammar mistakes, adjust vocabulary, and make sure you have not repeated the word “very” too many times. There’s no need to think about that stage now. What we’re doing here is looking at how your argument is constructed.

The kinds of changes you make when revising relate to how well you’re making your case. You may have to alter how your argument works or how it’s organized. Changes at this level are the biggest ones you will make, which is why there’s no point in playing around with word choice or punctuation when you might be rewriting, or even deleting, the entire paragraph.

The first thing to look for when revising is purpose. Now that you’ve written the whole paper, look back at your thesis statement. Is it still what the paper is about? And if so, does everything in your paper relate back to that argument? Read through the paper now and check for purpose.

The next step is to ensure that your argument makes sense and has power. All of your claims may relate to your thesis, yes, but are you convinced? Remember, you’re wearing your critic hat now. Pretend you didn’t write the paper and are being paid as a critic. Make yourself very hard to please. Then go through the paper and make notes on these aspects and any others that strike you as you read.

The following are specific categories of things to watch for.

Argumentation

• Is the thesis set up in a way that makes you care about it?
• Are the claims related precisely to the thesis, or do they become tangential at any point? Are they interesting?
• Does the evidence prove what it is intended to prove?
• Are there well-placed examples? Are they entirely relevant?
• By the end of the paper, might someone who believed differently from the thesis be swayed by the argument? If not, why not? What’s missing? And if so, what were the strongest points?
• Are there extraneous paragraphs or sentences that seem less important to the point?
• Where is the climax of this paper, where you most feel the author’s mastery?

Organization

• Is the structure of the paper as effective as it can be?
• Does the order of the paragraphs make sense?
• Does each paragraph build off of what was developed in the previous one?
• Does the end of the paper relate back to the beginning?
• Are the different steps of the argument linked in a logical manner?
• Is every step adequately explained, or are there leaps or holes in logic?
• Do some ideas seem to come out of nowhere, or do you feel like you’ve been prepared for each new concept?

Voice and Consistency

• Does the topic capture your interest because of the way it’s presented?
• Can you tell from the tone that the author cares about the topic?
• Is the author’s tone maintained throughout the paper?
• Does everything in this paper work towards articulating or proving the thesis?

What to Do With Your Critique

Another reason students avoid revising is because they jump too quickly from the critique part of revision to the rewrite, asking the brain to do a creative activity when it’s still in the critical mindset.   

So, if you have the time, it would be wise to take a break from the paper again at this point, at least for a little while. Once you’ve heard from the critic, taking a rest will give your brain time to relax and come up with ideas for revisions, moving naturally back into inspired, creative mode.

When you’ve taken that time, the process may flow quite naturally. If not, though, recognize that you’re repeating the steps you used in drafting.  

Address Foundational Issues

First, you shore up the thesis statement (or rewrite it entirely), then address the claims—rewriting them for clarity or deleting them if they’re not strong. You can even go back to your outline and move things around again, reevaluating the order of the argument. Thesis, claims, order: these are the bones of the paper—the foundation. Only after you’re satisfied with these do you move to revising paragraphs.

Breaking Down the Big Picture: Revising at the Paragraph Level

For each paragraph and section, ask yourself two things:

• What do you want each paragraph to do?
• How well does each paragraph complete that task?

We begin with the body of the paper, leaving the introduction and conclusion for later. The body is the meat on the bones. It needs to be evenly distributed and form a powerful whole. For each one, ask the following questions, but ask them in gentler artist mode, rather than in ruthless critic mode:

• Is this paragraph necessary to the argument?
• Is every sentence relevant to the claim made in the paragraph? 
• Is there anything missing from the first sentence to the claim—a piece of evidence or an argument that would make it more convincing?  
• Is the argument fully explained?  
• Does it flow well?
• How does each sentence make you feel? What is the trajectory of your feeling from sentence to sentence to claim?   
• Does the information in this paragraph logically lead to the next one? 
• Is the transition to the next paragraph smooth and easy to follow?

Fix these things now.  

The introduction and conclusion bring in more of the artistic aspects of writing, and so you’ll want to relax the critic a bit here and look at these paragraphs from an interested reader’s perspective. Again, not a bad idea to take a break before addressing these two paragraphs.  

Ask these questions for the introduction:

• Do the first few sentences intrigue me? 
• Does the subject seem compelling? 
• Does my attention lapse at any point?  
• Does the narrative lead me to an understanding of the topic?  
• How do I feel after reading it? Energized? Eager for more?

Take time to revise the introduction now, but consider beginning the revision with a prewriting exercise to get the creative juices flowing again.  

Ask the following questions about your concluding paragraph: 

• Is the argument woven together here or simply restated?
• Does this paragraph introduce new evidence or claims? 
• Do I feel a sense of completion and satisfaction when I finish, or am I left with unanswered questions and unmet expectations?
• Is there a sense of artistry, of mastery, to this last paragraph or set of paragraphs?

If you can leave the revision of the conclusion for a few hours after answering these questions, your brain may solve any question of how to skillfully weave your argument together. Allow yourself some quiet time to let images and stories to arise. Re-read the revised introduction as a source of inspiration.

Letting Go

Revising can be a metaphorical journey in letting go. It’s easy to get attached to what we’ve written, and deleting something you’ve spent hours on can feel painful.  Yes, you know it will make for a better paper in the long run, but you may bemoan all the lost time and effort.  

If you can reframe it for yourself, though, and recognize that revising is not separate from writing but an integral and vital part of the process, you’ll see that the next paragraph you write is built on the one you just had to delete. Your final paper will be successful because you trusted the process—trusted your creative mind to come up with new material even better than the old.

That’s the magic of revisions—every cut is necessary and every cut hurts, but something new always grows. —Kelly Barnhill

2.2.6: Step 6: Editing and Proofreading

Editing and proofreading ensure clarity, improve style, and eliminate errors.

Learning Objective

Recognize language that is unclear or imprecise

Key Points

• Editing and proofreading are concerned with the style of your writing, not the substance of your argument. Editing focuses on the clarity of your writing, particularly word choice, sentence construction, and transitions. Proofreading focuses on mechanics, such as grammar, spelling, and punctuation.
• Unlike revising for purpose, editing and proofreading focus on the sentence level of your work. When editing, you look at how clearly you have written. The goal is to make sure that your sentences are easily understood and tightly written.
• While editing focuses on improving your writing, proofreading is more like fact-checking it. The goal of proofreading is to find and correct mechanical errors.
• It can be helpful to do a peer review: ask one of your peers to edit and proofread your paper. Since they are seeing your work for the first time, they will probably be able to spot problems that you have missed.
• Reading a printed page of text backwards is a good way to catch errors.

Key Terms

editing

The process of selecting and preparing written, visual, audio, and film media used to convey information through the processes of correction, condensation, organization, and other modifications performed with an intention of producing a correct, consistent, accurate, and complete work.

proofreading

The reading of text to detect and correct production errors. Proofreaders are expected to be consistently accurate by default because they occupy the last stage of production before publication.

peer review

Assessment, before publication, by an authority or authorities in the pertinent field of study, of the written form of an idea, hypothesis, theory, and/or written discussion of such.

hyperbole

Exaggerated statements or claims not meant to be taken literally.

After revising for purpose, you still have two levels of revision left: editing and proofreading. When you move on to editing, the emphasis is clarity. Then, once your sentence structure and language have been cleaned up, you move on to proofreading, where you check the accuracy of your spelling and grammar.

Editing

Editing, like revising, is something that you will do throughout the writing process. Most of the editorial process will take place after you have worked out your final argument and organizational structure. Editing looks at your work on a sentence-by-sentence level, considering ways to make everything you say as clear and precise as possible.

During the editing process you’ll mainly want to consider language, construction, and style.

Editing for Language

With language, the overall question is whether you are using the most accurate language possible to describe your ideas. Your reader will have an easier time understanding what you want to say if you’re precise. Be sure to check for the following.

• Pronoun clarity: Make sure it’s clear what each “it,” “he,” and “she” refers to.
• Precise vocabulary: Make sure every word means what you intend it to mean. Always use a dictionary to confirm the meaning of any word about which you are unsure. Although the built-in dictionary that comes with your word processor is a great time-saver, it falls far short of college-edition dictionaries, or the Oxford English Dictionary (OED). If spell-check suggests bizarre corrections for one of your words, it could be that you know a word it does not. When in doubt, always check a dictionary to be sure.
• Defined terms: When using terms specific to your topic, make sure you define them for your readers who may not be familiar with them. If that makes the paragraph too cumbersome, consider using a different term.
• Properly placed modifiers: Make sure your reader can clearly discern what each adjective and adverb refers to. 
• Hyperbole: See if you can eradicate words like “amazing” and “gigantic” in favor of more precise descriptions. Also examine each use of the word “very” and see if you can find a more precise word or phrase.

Finally, pay attention to wordiness. Writing that is clean, precise, and simple will always sound best.

Editing for Sentence Construction

If you want to make everything easy for your audience to read and understand, start by simplifying your sentences. If you think a sentence is too complicated, rephrase it so that it is easier to read, or break it into two sentences. Clear doesn’t mean boring, by the way. Complicated is not a synonym for artistic!

Consider how balanced your sentences are within a paragraph. You don’t want every sentence to have identical length and structure or to begin the same way. Instead, vary your prose. 

This is also the time to add transitions between clauses and sentences that aren’t connected smoothly to each other. You don’t need to introduce every sentence with “then,” “however,” or “because.” Using these words judiciously, though, will help your reader see logical connections between the different steps of your argument.

Editing for Style

Editing for style is more difficult, because as writers gain practice they usually develop their own unique stylistic quirks. That’s a good thing. Instead of thinking that you should write a certain way, what follows is general advice for the kinds of writing that can help or hurt your work.

Think about how you use active and passive verbs. Often, rewriting a sentence to take it from passive to active will make it simpler and easier to read. Consider the following sentences:

• Many of those who have held the office of governor of Illinois in the past twenty years have been met with charges of corruption due to political misdealings.
• Over the past twenty years, many Illinois governors have faced political corruption charges.

The second is shorter, less wordy, and clearer. In this case, changing from passive to active made a major improvement. Please note, this doesn’t mean that you should never use passive verbs. Some sentences do read better with them. It’s up to you to decide which works better for your scenario.

In general, whenever you can replace an “is” or a “was” with an action verb, your writing will feel more vibrant. “The horse was shaking with fear,” is slightly less powerful than “The horse shook with fear.” Better yet, if the context tells us the horse is frightened, we can say, “The horse trembled.” “Trembled” is a more specific form of “shook,” which is itself an improvement over “was shaking.” This step enlivens research papers perhaps more than any other.

Another thing to look at with your verb use is parallelism—using the same pattern of words to provide balance in a sentence. If you are listing things, try to make them all the same part of speech. Look at these examples:

• Unbalanced: “John likes reading, his studies, and talking.”
• Parallel: “John likes reading, studying, and talking.”

Both are grammatically correct, but the parallel sentence has a better rhythm.

Proofreading

Proofreading is the final stage of revision. It’s okay to correct typos or grammatical errors if you catch them in early drafts, but you should save thorough proofreading for your final draft. Wait to begin this step when you are sure that you will not be changing anything else in your paper.

Here are some of the things you should do every time you proofread:

• Check spelling. Be alert for typos.
• Check punctuation.
• Make sure that you are using the correct formatting and citation style.
• Check that your verb tenses remain consistent.
• Look at subject/verb and pronoun/antecedent agreement.

Try reading each page backward. This doesn’t work so well for editing, but it can really help with proofreading. You’ll catch many of the above problems this way.

Tips for Editing and Proofreading

Know your errors. As you get used to revising, you will probably realize that there are some errors you make more frequently than others. Maybe you have a tendency toward wordiness. Maybe there’s a particular rule of grammar that always gives you trouble. Whatever your particular weakness is, you can pay special attention to it when revising.

Secondly, take the time to do multiple re-readings. Start by going through for one particular kind of error, and only pay attention to that. Then choose another thing to focus on, and read your paper again. Keep going until you’re satisfied that your paper is as good as it can be. Prioritize the issues you know you’re most likely to find.

Before concluding any written assignment, you can use your word processor’s spell-check feature in order to identify any overlooked spelling mistakes in your work. However, it’s important to look for errors yourself as well. People are more capable of understanding words in context than word processors. For example, spell-check software can’t always tell whether “their,” “there” or “they’re” fits in a specific sentence, but a person always can. Therefore, it’s a good idea to use both computer spell-checking, and good old-fashioned human editing with a red pen and paper copy! 

Spelling error

The aim of proofreading is to catch surface mistakes in spelling, punctuation, formatting, etc. — such as on the restaurant sign above, where the writer misspelled “omelette” as “omelate.”

2.2.7: Step 7: Completing a Final Review

When you’re done with all the steps of revision—revising for purpose, editing, and proofreading—make one final review of your paper.

Learning Objective

List questions you can use to self-evaluate your paper

Key Points

• Look one more time to make sure that you meet the criteria of the assignment and that you have taken care of all the changes you wanted to make.
• Ask yourself if you think the paper is now finished, or if you still have things you want to improve upon.
• A final review after revisions will help you determine if your paper is ready to be turned in.

Key Term

criteria

Standards for judgement or evaluation.

After spending so long looking at your paper on the level of individual words and sentences, it can be helpful to return to the big picture. Before you turn your paper in, read it over one more time. You do not have to look for specific problems. Just try to get a general sense of what your paper has turned into.

It can be helpful to imagine that you are reading somebody else’s paper during this final read-through. What would you say to a peer if this were his or her paper instead of your own? Does it have a clear thesis? Does the argument make sense? You can also try reading your paper out loud to see how it sounds.

Directions

Reviewing work throughout the writing process helps make sure it’s moving in the right direction.

The purpose of a final review is not to prompt major changes, as you already addressed those when you revised for purpose. Instead, doing a final review will help you see how all the changes you made work together as a whole.

This is also your last chance to make sure you meet the criteria of the assignment. Are you still saying what you intended to say? Did you complete the task you set for yourself in the introduction? Look at how your argument has developed and whether you are happy with it. If you’re not, you can go back into revision mode. If you are, then congratulations—you can finally say that your paper is complete.

Evaluating Your Process

At this point, you can make a final assessment of your process. The learning comes not only from your research and writing, but also from reflection about the process you went through. After you read your paper, ask yourself the following questions:

• How creative is the paper? If it feels a little bland to you, you might consider spending additional time using the prewriting activities the next time you write a paper. You might also consider reading more of the type of writing you’re doing to get a feel for the style and to spark your own imagination.
• Does it feel like your best effort? Do you feel some disappointment when you read your paper, as if you know you could have done better? Time is often a factor here. Budgeting in time for reflection isn’t often taught, but it’s a crucial aspect of the creative process.
• Where did you get tripped up? Looking back over the experience of writing, which parts of the process did you avoid? Which parts were difficult to wrap up and move on from? Which parts did you enjoy most? Can you see all of the answers reflected in your writing? Is the writing good but the research scanty, or is it heavily cited but disorganized? How might you address balance in the process next time around?
• What did you enjoy? Dwell for at least a moment or two on the parts of the process you most enjoyed. Did you have a great conversation with a friend during the brainstorming session? Did you write an especially strong paragraph for one of your claims? Did you let yourself sleep on a problem and wake up with the answer? Did you feel like you found your voice when writing the introduction? Now give yourself a moment to consider how to expand those good feelings into the rest of the process next time you write.

Writing is an art. It’s not something we’re born doing, yet it’s something we’re asked to do a lot in professional work. Making the process enjoyable for yourself is both useful and important. You have the power to make your next writing experience even better. Keep working at the parts of writing that are more difficult for you while expanding on the phases that delight you, and your next paper is bound to be more enjoyable, more inspired, and, ultimately, better.

2.3: Prewriting Techniques

2.3.1: Brainstorming

Brainstorming is a prewriting technique used to help generate lots of potential ideas about a topic.

Learning Objective

Describe the process of brainstorming

Key Points

• Brainstorming is listing all of your ideas about a topic—even the bad ones—without censoring or editing, in order to get your ideas flowing.
• Brainstorming is at its most effective when drawing on the power of interaction.
• Casual, free-form note-taking while reading or engaging in conversation can be a form of brainstorming. 
• Group brainstorming can be a great way to engage with partners or team members on a project and make sure everyone’s ideas are heard. 

Key Term

brainstorming

Listing ideas about a topic, even the bad ones, until you find one you like.

At its most basic, brainstorming is listing ideas. If you’re having trouble coming up with a good topic for a paper, sometimes it helps to write down every idea that occurs to you, even the bad ones, until you have a strong list going. 

Brainstorming is useful for figuring out what you’re interested in. The technique can take many forms, but perhaps the of them most effective is that it draws on the power of interaction. We’ve all had those great conversations in which someone says something that sparks an idea or memory in someone else, which then sparks a further idea, and before you know it, everyone is feeling energized. 

You can create one of those conversations about the topic of your paper. Just start a chat with a friend or a group about the topic and have your pen and notebook handy. Jot down notes as the conversation progresses and you hear ideas that spark your interest. For an essay on the women’s movement of the 1970s, you might generate the following list by talking with friends or calling your mother:

• equal pay
• choice of career
• freedom
• purpose in society
• valuing the “feminine”—still an issue?
• messages girls get now
• effects of the movement on men
• successful or not?

Another way to brainstorm is to read an article or a book chapter on the topic and write down whatever occurs to you as you read, even if it has nothing to do with the text. You’re interacting with the text like you might interact with a person, letting the author’s ideas spark new thoughts in you.

You can also brainstorm in a group if you’re working on a writing project with a partner or a team. Find a whiteboard, pick someone to write, and record ideas, topics, and notes as they come up. In addition to being helpful in finding a topic, this process can be fun and help break the ice with your fellow students so that everyone feels as though they can share in the discussion.

Once you’ve generated a lot of ideas through brainstorming, you can choose a few of them to do further prewriting exercises with to eventually create your thesis statement. Perhaps the most important thing to remember about this process is that “there are no bad ideas in brainstorming.” While this saying is not strictly true—for example, it would be a bad idea to tackle an assigned essay about feminism in the 70s by writing about the life cycle of the lunar moth—it is valuable because it helps you remember that brainstorming isn’t about coming up with a perfect solution. It’s about considering your topic on many levels until you find an approach you’re excited about.

No bad ideas

Sometimes, it helps to stop censoring yourself and write down every idea you have—even the bad ones. You can decide on the best one later! 

2.3.2: Freewriting

Freewriting, a prewriting technique, can help you break out of writer’s block by letting your ideas flow naturally.

Learning Objective

Describe the process of freewriting

Key Points

• Freewriting is writing without editing in order to get your ideas flowing.
• Freewriting can be a useful prewriting technique to help think of different directions your paper can take.
• To freewrite, get a pen and paper (or open up a blank computer document) and set yourself a time limit. Then start writing about your general topic, recording any thoughts as they come into your mind. No editing allowed!

Key Term

freewriting

The process of writing loosely, without self-censorship, in order to develop ideas spontaneously and naturally.

What Is Freewriting?

Have you ever experienced writer’s block, that frustrating feeling of knowing what you want to say but not how to say it? Freewriting is a great way to get away from that. It’s simple: You just write, and don’t worry about whether or not what you’re writing is good or not—you’re just trying to get yourself into a natural flow.

Freewriting is a great prewriting technique. It will come in handy if you have a general topic but are not sure what you want to say about it. Get a pen and paper (or open up a blank computer document) and set yourself a time limit. Start writing about your general topic, recording thoughts as they come into your mind. Do not edit as you go, or even look back at what you have written. Just keep moving on as thoughts occur to you. The purpose of freewriting is to develop ideas spontaneously and naturally.

Example 1: Hamlet

Consider this example, a two-minute freewrite on the topic of revenge in Hamlet:

People say Hamlet is a play about revenge, but is revenge successful if he dies at the end? Is killing Claudius enough to make Hamlet happy? Did he succeed at anything, or did he just destabilize Denmark further? Fortinbras seems like a better king—at least he is interested in government. But he isn’t the rightful ruler, which is part of why Hamlet was upset with his uncle in the first place. Or was he? Is he more upset about the murder or the usurpation? Does he want to rule or just to get revenge? Is his quest for vengeance the act of a justice-seeking prince or are revenge and rulership at cross-purposes?

There are a few good things to notice about this freewrite. First, the paragraph has many more questions than observations or answers. This is perfectly fine. Freewriting is not a place to work out answers to questions, but rather to figure out exactly what question you want to ask.

The other thing to notice is the general trajectory of the paragraph. The different questions are connected to each other, albeit very loosely. Again, this is fine. Freewriting does not need to be rigidly organized as long as it stays relatively close to its general topic. Often, freewrites will end up producing a unified line of thought even without you trying to connect everything. There is a significant difference between the starting point of “Is Hamlet’s revenge successful?” and the final questions of “Does Hamlet want to get revenge or become a ruler?,” and “Can you seek revenge and be a ruler?” All three are different approaches to the same broader question, though. In fact, those second questions can be refined into more specific answers to the first one.

A topic from the first question might be “Hamlet does not successfully achieve his goal of vengeance.” A topic from the last questions might be “Hamlet fills his stated goal of killing Claudius, but since he leaves Denmark without a king he ultimately fails at correcting the wrong he wanted to correct.” Both ideas are far more focused than what you started with.

Example 2: Lolita

Now that you’ve seen an example of freewriting and the research topics it can point you toward, try it with this example:

Humbert Humbert is a creepy dude who basically ruins Lolita’s life. But he recognizes that he’s being judged by the world for his actions and he says he’s full or remorse. Is he sincere or just playing it up for the “jury”? He sounds sincere, though flowery. Do his elaborate professions of guilt work to absolve him or make him seem purely theatrical? What about how he talks about Lolita? He doesn’t even call her by her real name, which is Dolores. In a lot of ways, she’s more of an

object

of his fantasy than a real person. Does that make his behavior less condemnable because he’s clearly nuts? Or more condemnable because he’s unempathetic to the extreme?

What research direction could this freewriting example bring you toward?

2.3.3: Clustering and Concept Mapping

Creating a concept map is an easy way to visually represent the relationships among your ideas.

Learning Objective

Describe the process of creating a concept map

Key Points

• Clustering is the process of writing down a broad topic, then creating a concept map where different clusters of related subtopics are represented visually.
• Clustering is an effective way to narrow your focus if your topic is too broad: you can pick one branch of your concept map to focus on, rather than the large central topic.
• To make a concept map, write down your main topic in the center of a page, then make branches and sub-branches with related subtopics as you think of them.

Key Terms

clustering

A process in which you start with a main topic, then explore clusters of related subtopics.

concept map

A diagram of related ideas.

If you are having trouble breaking a big topic down into smaller ones, you might want to try clustering. This is a tactic in which you write down a very broad topic or idea and then make a concept map, in which you diagram smaller ideas or categories (clusters) that relate to the central topic.

Say you are writing a paper that teaches your classmates how to perform a task. You have one page to provide detailed instructions about an activity. If you have chosen “gardening” as that activity, you will not be able to give an adequate description in the space provided. There’s simply too much information. You have to choose a smaller task associated with gardening. The question is, which one?

All the things you linked to “gardening” are smaller tasks you could describe. You can even break them down into further levels of detail. For example, the subcategory of “researching and purchasing plants and seeds” can be broken down into separate bubbles for research and purchasing. The purchasing bubble could be broken down into a) where to purchase plants, b) when to purchase plants, c) how much to pay for different plants, and so on, until you reach the right level of specificity. In this way, you can break your general topic down from “explaining gardening” to something like “explaining how to purchase a sunflower plant.”

The goal of clustering, much like freewriting, is to come up with lots of different possibilities. Then you can choose which ones you think are best suited for your assignment. Make sure that you don’t censor yourself when you’re making a concept map: add anything you feel is related to your topic and let it flow!

2.4: Building Your Paper

2.4.1: Modes of Persuasion: Ethos, Pathos, and Logos

Careful rhetoric, or the art of crafting arguments through tone and presentation of evidence, can make your argument more convincing.

Learning Objective

Identify appeals to logos, pathos, and ethos

Key Points

• Rhetoric involves the “how” of making arguments—it asks you to think about what kind of writing will make your argument most convincing to the reader.
• In classical rhetoric, there are three main strategies to appeal to the reader: logos, pathos, and ethos. 
• Ethos, logos, and pathos each affect the reader differently. When choosing a strategy, think about what kind of argument you want to make and when each strategy might be most useful. 
• Keeping readers’ potential objections in mind will help you select the most appropriate strategies.
• While persuasive strategies make a good paper more convincing, the most credible arguments are those which honestly examine the issue from all sides using the most reliable sources of information.
• Audience analysis, developing a
  thorough understanding of an audience (education, values, beliefs, etc.), is
  crucial in making choices relating to the use of logos, ethos and pathos.

Key Terms

logos

A technique that relies on reasoned argument.  

pathos

A communication technique that makes an appeal to the audience’s emotions; used most often in rhetoric and in literature, film, and other narrative arts.

ethos

A Greek word meaning “character,” used to describe the guiding beliefs or ideals that characterize a community, nation, or ideology. In rhetoric, the term is often
used in reference to the credibility of an author based on his
or her expertise and/or personal character.

Using Rhetorical and Audience Analysis

A rhetorical analysis calls upon readers to closely read a text and determine several characteristics about it, including author, context, purpose, and emotional appeal and/or effects. In other words, readers must take a look at Aristotle’s three persuasive appeals to the audience: logos, pathos, and ethos. As writers, you’ll use these tools to build a convincing argument.

Choosing persuasive appeals depends on the purpose of the argument, but it also stems from audience analysis. Knowing as much as possible about the audience you are trying to reach can help you to determine which appeals are most likely to be effective. Things to consider include the audience’s core values, beliefs, and the level of knowledge they already have about the subject you are addressing. Some arguments employ all three of these appeals, while others rely on a strategic application of just a couple of them.

Logos

Logos relies on the rigorous use of logic and reason. Arguments based on logos usually employ deductive and/or inductive reasoning. Deductive, or top-down, reasoning applies a general rule to draw a conclusion about a specific case or cases: “All men are mortal. Arturo is a man. Therefore, Arturo is mortal.” Inductive, or bottom-up, reasoning constructs a premise or rule by generalizing and extrapolating from a specific case or cases: “Every person I have ever known of has eventually died. I have never heard a report of any person living forever. Therefore, people are mortal.”

Pathos

In contrast to logos, pathos relies on evoking an emotional reaction from the audience. The evidence in a pathos argument is more likely to be personal or anecdotal. Moreover, the success of the argument depends on the author understanding the audience’s values and beliefs, and manipulating them.

Ethos

Ethos works by giving the author credibility. By building credibility with the audience, the speaker or writer also builds trust with his or her audience. Ethos can be used to stress the personal credentials and reputation of the speaker/writer, or cite reliable authors or sources. Writers and speakers who employ ethos to strengthen their argument should avoid attacking or insulting an opponent or an opposing viewpoint. The most effective ethos develops from what is stated, whether it is in spoken or written form.

Writers can pull elements from any of these strategies as needed to make a persuasive argument. 

When and How to Use Pathos

Generally, pathos is most effective when used in the introduction and conclusion. You’re trying to grab readers’ attention in the beginning and to leave them with conviction at the end, and emotion is a useful tool for those purposes. Describing the plight of people affected by the issue at hand might open the paper, for example, and then be revisited in the conclusion.  

There are subtle ways to use pathos throughout the paper as well, and you can do that primarily through word choice. Your reader is going to be looking for holes in your argument and will likely bristle at any hint of being manipulated with emotion in the body paragraphs, preferring that you stick to the facts. But by choosing your words carefully, you can make suggestions that have a subconscious effect on the reader. Here’s an example:

• Though the candidate is older than most who’ve held the office, he is known to be energetic and active.
• Though the candidate is older than most who’ve held the office, he is known to be spry.

When you read the first sentence, what image formed in your mind? Maybe an older guy smiling and jogging or shaking hands with supporters? And the second sentence? The word “spry” is generally used only for elderly people, so you likely imagined someone slightly different, perhaps a little older and a little less energetic. Since we’re talking about a politician, the word “spry,” while ostensibly meant to mean “active and energetic,” is putting a suggestion in the reader’s head that the politician might be a little old for the job. A little sneaky? Well, you might think of it that way, but you can also have a lot of fun building an effective argument using words that affect the reader in very particular ways.

There are countless words and phrases that hold a common meaning for your audience other than their defined meaning. Can you imagine when you might choose the word “backpack” over “bag,” or “uzi” over “gun,” or “guardian” over “parent,” or “paperback” over “book,” or “liberal” over “unrestricted”? What are the connotations of the chosen words versus their synonyms? 

While the more obvious uses of pathos—in which you make a direct emotional appeal—may come to you early in the writing process, these subtle choices of suggestive words might emerge as you revise. Use this tool sparingly, though, so the subconscious suggestion doesn’t become obvious to your reader and therefore have the opposite effect.

When and How to Use Logos

Generally speaking, logos is what people expect in an argument these days. We are a society oriented toward logical reasoning and scientific proof, so you’re probably going to need to draw on logos at some point in your paper and will likely use it in every body paragraph. A good argument will usually include both facts and reasoning and may be bolstered by examples.

Consider this example from “Health Effects of Cigarette Smoking,” published by the Centers for Disease Control and Prevention: 

Smokers are more likely than nonsmokers to develop heart disease, stroke, and lung cancer.

1. Smoking is estimated to increase the risk—

• For coronary heart disease by 2 to 4 times
• For stroke by 2 to 4 times
• Of men developing lung cancer by 25 times
• Of women developing lung cancer by 25.7 time

2. Smoking causes diminished overall health, increased absenteeism from work, and increased health care utilization and cost.

Perhaps you didn’t need convincing that smoking is bad for your health, but if you did, you’d have a difficult time arguing with these statistics, all footnoted on the CDC website, all based on reputable studies.  

If we were including this evidence in a paper about the dangers of smoking, we could decide that such weighty evidence can stand on its own: excessive reasoning might actually weaken the argument. But if we are writing a paper about why cigarettes should be made illegal, or some other, more radical idea (and a more interesting paper), we might need to make our reasoning clear:

We know, then, that cigarettes are extraordinarily dangerous—many times more dangerous than car accidents—and highly costly. Yet, while we’ve increased safety standards for cars steadily since the 1970s, required drivers and passengers to wear safety belts, and are even considering technological innovations that will mechanize highways to eliminate driver error, we have as yet done little to regulate the use of cigarettes. Discouraged through taxation, yes, official warnings, yes, but direct regulation, no.

The reasoning in the above paragraph takes one of the statistics and explains its relevance to the argument. You’ll need to do this in almost every case so that the link you’re making between the evidence and the claim is clear.

It can be useful to think of logos as building a case, where your thesis statement is the thing you’re trying to prove beyond a shadow of a doubt. You’re the defense attorney. What would make this an air-tight case? What might be in the jury’s mind that you need to address so that they won’t go into deliberation with questions or doubts? What kinds of evidence might convince them? Planning out the body of your paper is like planning to present your evidence in the courtroom, step by step. Too much information will get boring and muddle the jury, so you’ll want to stick with your most salient examples and most convincing evidence.  

The Art of Ethos 

In Aristotle’s day, ethos usually applied to the technique a speaker used to establish credibility for himself, the “why you should listen to me” portion of the speech. Now, we establish our reliability mostly by demonstrating a thorough knowledge of the topic and by citing credible sources. We need to let our readers know that the studies we’re citing are from peer-reviewed journals, for example, and the opinions we’re quoting are from people who know what they’re talking about.

While acupuncture was once relegated to the realm of “quacks” and “snake oil,” it is now considered by mainstream medical science to be an effective treatment for pain. The National Institutes of Health (NIH) website states that, “Results from a number of studies suggest that acupuncture may help ease types of pain that are often chronic such as low-back pain, neck pain, and osteoarthritis/knee pain. It also may help reduce the frequency of tension headaches and prevent migraine headaches. Therefore, acupuncture appears to be a reasonable option for people with chronic pain to consider” (NIH, 2014). Doctors themselves seem glad to have found a possible remedy for chronic pain. In fact, a third of acupuncturists now practicing in the United States are also medical doctors (NCCAM, para. 2). This once-suspect art is increasingly embraced by physicians looking for additional options for their most challenging patients.

Here, we’re bolstering our claim that acupuncture is accepted as an effective tool for pain relief by quoting the governmental agency NIH, which is widely recognized and respected, and by talking about doctors—also well-respected—embracing the practice themselves in order to better serve their patients.  

Your sources need to be credible to your skeptics. Most of the objections to our claim, above, will likely come from people who trust conventional medical practices and are wary of trying practices they haven’t encountered. This particular audience, then, would be more likely to consider the NIH and a group of medical doctors credible than they would, say, the American Academy of Medical Acupuncture or a group of Chinese practitioners. Part of the ethos of your argument, then, is finding resources your audience would find credible. By extension, you earn readers’ respect for quoting sources they consider trustworthy.

Don’t discount your own knowledge and experience, though, when considering the ethos aspect of your argument. The introduction and conclusion, again, might be the best spots to tell your audience how you’re connected to the topic. If you’re writing about school vouchers and you attended both public and private schools, that detail might give you some insight into both sides of the dilemma and, therefore, credibility with your readers. If you’re an artist and feel you would have dropped out of high school were it not for your art classes, you would do well to include your experience in a paper about funding for the arts in education.  

Your reader is counting on your ability to be objective, as well as knowledgeable. You’ll demonstrate your objectivity by using sources that are widely respected and by gathering information from both or many sides of the issue. Real rhetoric is about honestly seeking answers, and while there is some persuasive technique involved, the most satisfying argument is one that is thoroughly explored. In the end, then, your credibility lies with your diligence and your willingness to present your findings with transparency.

Capture the attention of your audience with rhetoric

Using appropriate rhetorical tools and a well-thought-out argumentative structure is a way of ensuring the strength of your writing. In addition, rhetoric gives you ways of capturing the attention of your audience and leading them to the conclusions of your argument.

2.4.2: Approaches to Your Introductory Paragraph

The effective introductory paragraph introduces the topic in a way that makes the reader interested and curious.

Learning Objective

Order the elements of an introductory paragraph that uses concept-funnel structure

Key Points

• An effective technique for introductions is to open with a sentence or two that grabs the reader’s attention.
• There are common ways to introduce a topic that are overused and therefore not recommended.
• The concept-funnel structure leads the reader from a broad concept of the topic to the thesis statement.
• The mirror construction hits each claim of the paper in the same order they’re presented in the body of the paper.
• Stylistically, it is advisable to leave out overt references to the construction of the paper.
• Leaving the introduction until the end of the drafting process makes it easier to write.

Grabbing the Reader’s Attention

There are many ways to begin a paper, some straightforward, others more creative. Papers generally need to aim for an objective voice and stay close to the facts. However, you have a bit more freedom in the introduction, and you can take advantage of that freedom by finding a surprising, high-impact way to highlight your issue’s importance. Here are some effective strategies for opening a paper:

• Make a provocative or controversial statement
• State a surprising or little-known fact
• Make a case for your topic’s relevance to the reader
• Open with a quote, a brief anecdote, or imagery that illustrates the issue
• Take a stand against something
• Stake a position for yourself within an ongoing debate
• Introduce a challenging problem or paradox

After you grab the reader’s attention with the opening, make a case for the importance of your topic. Here are some questions that may help at this stage: Why did you choose this topic? Should the general public or your academic discipline be more aware of this issue, and why? Are you calling attention to an under-appreciated issue, or evaluating a widely acknowledged issue in a new light? How does the issue affect you, if at all?

Concept-Funnel Structure

A popular introduction structure is the concept-funnel. In this structure, you begin with general information about your topic, narrow the focus and provide context, and end by distilling your paper’s specific approach. As you move from general background information to the specifics of your project, try to create a road map for your paper. Mirror the structure of the paper itself, explaining how each piece fits into the bigger picture. It is usually best to write the introduction after you have made significant progress with your paper, so you can accurately mirror its structure.

A Strong Beginning

A common interpretation of the funnel structure is to start very broad and sift down to the thesis, but if you start too broad, you will lose your audience in the first line. Resist the temptation to begin your introduction with phrases like these:

• From the dawn of time …
• Throughout human history …
• In today’s world … 
• From earliest memory …
• Webster’s defines [topic] as …

These openings have been used so often, they no longer grab our attention but trigger us into anticipating something dull and predictable. Instead, think of that top opening of the funnel as piquing the reader’s interest about the topic you’re writing about. You can do this with imagery (“A six-year-old girl in a tattered blue dress stands on the street corner at 11 p.m., her eyes searching every car …”), with a provocative statement (“The U.S. government is no longer ‘of’ or ‘by the people’ but is controlled by billionaires”), with context (“On any given evening on 65th Street between Broadway and Amsterdam in the city that never sleeps, there are crowds gathering in front of Lincoln Center”), or even with a concession to an opposing argument (“Amanda Wilcox’s 19-year-old daughter was murdered while home on winter break. Amanda and her husband Nick were completely devastated and beset by both grief and anger”).

Mirroring the Construction of Your Paper

After grabbing readers’ attention with an interesting opening, you’ll want to lay out your basic argument. This provides your readers with structure, appealing to the logical mind, after grabbing them through their emotions or their imagination. Leading them from your claims to your thesis, which is generally at the bottom of the “funnel,” is also a subtle act of persuasion, whispering, “Once I’ve proven all of these points, you’ll see that [my thesis] must be true.” You could actually say that, but generally it’s better to let the reader draw that conclusion by reading the solid, well-substantiated argument that is your paper. What you want to do here is simply draw a line from your opening to your thesis statement, using your claims.

While you’re appealing to logic and reason in this part of the introduction, you needn’t leave artistry behind entirely. Think of this part as weaving together each claim with the emotion you brought up in the beginning, bringing the strands in one by one. Together, they create the thesis.  

The basic structure is this:

1. Introduce the general topic in an interesting way
2. Claim 1
3. Claim 2
4. Claim 3 
5. Any other claims
6. Thesis statement

Try to leave out overt references to the fact that this is an essay (e.g., “In this essay, I will prove that …”). The form is there to provide the structure, giving you the freedom to be artistic within it.

Amanda Wilcox’s 19-year-old daughter was murdered while home on winter break. Amanda and her husband Nick were completely devastated and beset by both grief and anger. The culprit was caught, and friends of the couple would offer comfort by telling the couple that the man would pay for what he did, hopefully with his life. Amanda and Nick could see how people would think these words would help. Revenge seems satisfying on the surface: at least there is something that can be done to “right the wrong.” But neither of these broken-hearted parents could find solace in vengeance. They recognized that putting her murderer to death would not bring back their daughter, even if it might feel justified. They were also aware that even when the case against a felon seems air-tight, DNA

evidence

has cleared 263 convicts since the year 2000. The families of murder victims around the country have reason to feel anger, hurt, and even utter hatred for the person who took away their loved one. But the death penalty is a

solution

based on passion and emotion, not a viable punishment for any crime in a civilized society.

In this paragraph, the example in the opening takes us through the claims, getting us closer to the thesis. This is a way of weaving the paragraph together. The reader is ushered into the topic and through the claims without being conscious of reading an essay.

Write the Introduction Last

Saving your introductory paragraph until the end of your drafting process will put the power of your paper’s argument behind you as you create. Ask yourself these questions before you begin:

• Why is this topic interesting?
• What’s the most fascinating or shocking thing I found in my research?
• What kinds of things surprised me as I read and wrote?
• How would I tell a friend about what I found?
• If I were to pick up a book to read about this topic, what would capture my imagination?

Allow yourself to enjoy the process of writing your introduction. Let your creativity run free here, within the general structure. Take some risks! This is the place where your personality can show through, to the delight of the reader, who is undoubtedly ready and waiting to be surprised.

2.4.3: Approaches to Your Body Paragraphs

A powerful argument depends on solidly and appropriately constructed body paragraphs.

Learning Objective

Order the elements of a body paragraph

Key Points

• The structure of each body paragraph includes a topic sentence, evidence supporting the topic sentence, a conclusion, and a transition.
• The topic sentence is an arguable statement related to the thesis, introducing the main idea of the paragraph.
• Part of creating an effective argument is choosing the most appropriate and powerful from the various forms of evidence and ways to present them.
• Transition sentences lead readers to the next claim in the argument.

Key Term

topic sentence

An arguable statement summarizing a claim that supports the thesis.

Constructing a Paragraph

The body of the paper presents your argument point by point to reveal the wisdom of your thesis. You decided on the order of these points during the outline phase, but as you write you may choose to reorder them for maximum impact. You may also decide to scrap points that don’t have the impact you expected them to have. Flexibility is a useful quality during the drafting phase.

Each body paragraph will be organized around a claim, which you’ll form into a topic sentence. You’ll generally begin each paragraph with its topic sentence, then you’ll move to the evidence that led you to this claim before ending with a concluding sentence that weaves claim and evidence together. You’ll also have transition sentences that link the paragraphs together, and they can appear at the end or beginning of each paragraph.

Sample Body Paragraph Structure

• Topic sentence (announcing the claim)
• Evidence 1
• Evidence 2
• Evidence 3
• Concluding sentence

The Topic Sentence

Like your thesis, each topic sentence is an arguable statement, not a fact. The facts come in the form of evidence that you’ll present in the next sentences. It needs to be clear how the topic sentence relates to your thesis and it should address only one point.

If you’re having difficulty formulating a topic sentence, you can write the following stem: “One reason I believe my thesis statement is true is this:” and then complete the sentence.

One reason I believe my thesis statement is true is this: The imagery in the opening lines of [Frost’s poem] “Home Burial” immediately evokes the tension between husband and wife.

Then you can leave off the stem and simply begin the paragraph with what you believe. Check to see whether the statement sums up one of your claims. If it doesn’t, you may need to revisit your claims and rework them so they fit your argument at this stage of the writing process. It’s common for your opinions to become clearer and more sophisticated as you spend more time with your topic, so don’t be afraid to make some changes.

Check, too, to see whether the topic sentence is arguable and clear. Occasionally, it may take two or three sentences to express the claim, and that can work, but being able to encapsulate it into one sentence means you understand what you’re communicating thoroughly enough to write concisely.

Presenting Evidence

As you approach the structure of an individual paragraph, you’ll want to consider how this particular claim would be best presented. You probably found different types of evidence in you research: quotes from people who’ve studied your topic extensively, stories or analyses from people who’ve had direct experience with it, and studies that offer conclusions. Recognize that using a series of any one of these types of evidence could become repetitive and either bore or overwhelm your reader. Pounding statistic after statistic into a paragraph may seem convincing as you’re writing, but it might have the opposite effect and make the reader disengage.

Instead, write your topic sentence and look over the evidence you’ve gathered for that claim. Is there a first-hand account that might best illustrate this point? Perhaps a quote from a well-known authority would capture your reader’s respect right away. It could be that a recent study found exactly what your topic sentence claims, and you want to lead with that.  

Just as with the introductory paragraph, you’ll need to consider that rather than simply offering proof of your opinion, you’re also courting your reader. Variety of presentation will keep a reader interested in your argument, as will the strength and reliability of the evidence. If you’re hesitating to relate a story or to cite a study because you’re not sure whether it’s convincing, leave it out. Your reader will feel disrespected by any attempt to slip in a weaker point. There is no advantage to bulk over strength.

There are some organizational tools that can give you direction when forming your paragraphs. Just some of the ways to present evidence are as follows.

Cause-Effect

This type of paragraph explains why something happened. Often, you’ll want your reader to understand the relationship between your claim and your thesis, and this technique can link them.

Example: While people may cite various reasons for getting married, underneath every one of these claims is the need for security.

Problem-Solution

Here, the writer presents a question or issue and then shows how to solve it. This type of paragraph can show the reader why you’re proposing your thesis. The evidence can both prove the problem statement and begin to reveal the thesis-related solution.

Example: One problem with the increasing emphasis on college sports programs is the inevitable decrease in academic focus.

Compare-Contrast

This method exposes the similarities and differences between two things. This technique can provide greater clarity as to how your thesis makes more sense than an alternative idea.

Example: While the methane gasses produced by damming may be somewhat problematic, our primary concern should be the far greater amount of methane produced by the beef-production industry.

Sequential Exposition

This simply tells what happened in what order. It can be used to explain to a reader how events led to what the thesis proposes or the problem it seeks to rectify.

Example: Often, when a company is in financial trouble, management begins layoffs, which lead to lowered company costs, which leads to greater investor confidence, which leads to increased stock prices, which increase shareholder wealth and, often, management compensation.

Description

Offers details about the phenomenon or event being discussed. This is particularly useful when you want the reader to get the same picture of the issue that you have.

Example: His prison cell consisted of a toilet and a metal bed frame with a thin, stained mattress and a small plastic pillow. The air was stagnant and close, with fans only in the main eating area.

Concluding Your Paragraph and Transitioning

Your concluding sentence will often have an echo of the topic sentence in it while moving the reader forward to the next topic.

We see, then, that trees actually do have a chemical system of communication, stunning as that may seem, but what might that mean for the human-forest relationship?

The first part of the sentence, in this example, sums up the evidence just presented, and the second part introduces the next topic. Likely, the topic sentence of the next paragraph will suggest a shift in the way people approach forest management.

Of course, you won’t want to make every concluding sentence a question. You might decide to have a concluding sentence and then a transition sentence.

The fact that toxic sewage is still being dumped into our waterways is disheartening in itself. Even more startling, however, is the knowledge that the government’s regulatory agencies have all but endorsed the behavior.

In this case, we can presume the paragraph gave evidence that toxins are polluting streams, rivers, lakes, and oceans. From the transition sentence, we anticipate that the next paragraph will contain evidence that government agencies not only knew about it but somehow supported the practice.

The Collected Paragraphs

When you’ve written each body paragraph, look them over to check for variety in your presentation styles, strength of argument, logical paragraph positioning, and overall readability. While a good mix of styles makes the paper much more interesting, the most important thing is that each claim is presented at its most powerful. Your conclusion will serve the purpose of weaving your claims together, but before you move to that stage, take one last look at the body and make the changes necessary to strengthen your argument as much as possible.

2.4.4: Approaches to Your Concluding Paragraph

The conclusion, while not adding new information to the argument, can inspire readers to believe the paper’s thesis.

Learning Objective

Order the elements of a successful concluding paragraph

Key Points

• The concluding paragraph summarizes the paper’s argument and restates the thesis.
• Reversing the concept-funnel format of the introductory paragraph can be a useful form for the conclusion.
• Recommendations, projections, or challenges can follow the argument summary. 
• Revisiting any images, quotes, or questions offered in the introduction can be satisfying to the reader and add power to the argument.

The concluding paragraph (or, rarely, paragraphs) summarizes the argument, showing how it supports the thesis. Its purpose is to leave readers with a strong sense of the argument, thereby encouraging them to adopt the thesis as their own.

The concept-funnel approach often used for introductions can be reversed here, moving the focus from narrow to broad. Along the way, you can include recommendations for future behavior, if behavior change is applicable to your essay. Here you have a common format for concluding paragraphs:

• Thesis statement revisited
• Claims repeated, woven with transitions 
• Recommendations, projections, or challenges
• Introductory opening revisited

One way to think of the conclusion is as “The Tale of the Conquering Hero.” The hero recounts his adventure by first telling you his accomplishment, then recounting the steps that led to it, and finally putting it into a broader context.

Thesis Statement

It can be effective to begin the conclusion with the thesis statement, after a transition stem, such as, “It’s now quite clear that … ,” or “As we have seen, the preponderance of evidence shows us that …” You needn’t necessarily repeat the thesis statement word for word, but its essence should be the same as it was written in the introduction.

Restating the thesis signals to the reader that you’re no longer going to introduce new evidence and are wrapping up your argument. The reader makes an emotional shift with this sign, and so making your purpose known immediately helps keep the reader interested.

Revisiting the Argument

Next, you’ll restate your claims, but you’ll want to do this in a way that flows. Your reader will check out quickly if you’re simply marching him or her through the paragraphs. This time, you’re considering each claim as a drop in the bucket of your argument. You’re no longer trying to prove the claim. Your reader has already seen the evidence supporting the topic sentence. Think of the conclusion as the philosophy phase of the paper, where you take a broader look at the issue and consider the points of the argument together.  

As you’re weaving your claims together, you can get creative. Snatches of evidence, such as a quote or a statistic, can be included for emphasis if used sparingly. You may decide to change the order, if you want the claims to flow a little differently here than they did in the body of the paper. Your point here is to show the reader how these claims inform one another to support the thesis, and to emphasize the significance of each claim to the argument. 

“We found that [claim 1], which on its own would have demanded a significant shift in policy, but when we also consider [claim 2], it is no longer a question of need, but of urgency in the highest degree.”

Sometimes, the process of writing the conclusion will reveal a hole in the argument, and you can use this draft as a prompt to go back to the research phase to fill the gap in knowledge. Keep in mind, though, that any new claims or evidence must be integrated into the body paragraphs of the paper. There should be no new evidence or claims presented in the conclusion.  

Optional: Recommendations and Challenges

In this stage of the conclusion, you’ve wrapped up your argument and are now asking people to think more broadly. You can offer recommendations for readers to change their behavior based on what they’ve learned from the essay. You can paint a picture of the future—either one where the current state continues or one where the changes you consider in the paper are implemented. Or you can make a societal challenge of some kind.

“So, if grief is natural, and we have seen that it is, we must discontinue our practice of avoiding the discomfort of death and the sadness of the bereaved. We must begin to embrace the lows of life as well as the highs.”

“We have seen that polyamory is a viable social alternative to marriage and can result in relationships even more committed and reliable, but what does that mean for you? Will you continue to cling to tradition and spurn those who live in non-traditional ways? Will you be one of the forces slamming the door shut on social acceptance of ‘different others’? Or will you open your mind and your heart and recognize that there are other ways of being that work as well as your own?“

“Armed now with the knowledge of how dire the situation is, we must act. The three most important areas for us to implement personal changes are …”

This portion of the conclusion won’t apply to all topics, and it’s certainly not a requirement. You may choose to leave the reader to consider the implications of the argument, rather than creating a kind of call to action. You may want to try both versions and see which one you prefer.

Optional: Introductory Opening Revisited

While this option may feel unnecessary, after all that has gone into your conclusion, at least consider revisiting the opening to your introduction. It can be very satisfying to a reader to have the closure that even just a few such sentences can provide.

Say, for example, that your introduction began with a description of a pre-teen girl in a drug-riddled city being forced to walk the streets to earn money for her parents’ drug habit. If it’s a powerful image, it will linger in the reader’s mind. Bringing the reader back to that image in the conclusion can close the emotional loop for the reader, showing him or her how individual action, or a change in policy, can change the situation for this girl. The power of that emotion can significantly add to the power of your argument, so you wouldn’t want to waste the opportunity.

You may have begun your paper with a quotation, rather than an image, or with a question. Revisiting those words now offers a spark of recognition in the reader and subconsciously makes the argument seem solid and well thought-out.

While you needn’t get overly emotional with your ending, you do want to make the conclusion powerful. Therefore, avoid weakening your argument in any way here, by, for example, making concessions, belittling yourself as inexpert, or admitting to not doing enough research. Make your case and stick by it, ending strong and with integrity.

2.5: Quoting and Paraphrasing

2.5.1: The Basics of Quotations

When you’re writing a paper, it is important to avoid vague generalizations, especially when it comes to paraphrasing other authors.

Learning Objective

Identify problematic generalizations

Key Points

• Vague terms like “critics say” or “is widely regarded as” that attempt to take the place of particular examples weaken evidence by not citing specific sources.
• Quoting and paraphrasing the ideas and knowledge others have set forth is a way to show your reader how you arrived at your conclusions.
• You must always cite ideas, as well as any other information other than commonly known and accepted facts.
• Quotations are most appropriate when the author is particularly well-known, when you want to add an air of authority to the information, and when the exact words are particularly eloquent.
• Paraphrasing gives you more flexibility with sentence structure and allows the reader to hear your unique voice and reasoning in the paper.

Key Terms

quote

To repeat the exact words of another with the acknowledgement of the source.

quotation

A fragment of a human expression that is being referred to by somebody else.

paraphrase

To restate another’s thoughts or ideas in different words.

Avoiding Generalities

When writing a paper, it is important to avoid vague generalizations, especially when it comes to characterizing the thoughts of others, whether they hold similar or contrary positions to your own. Catch-all phrases such as “critics say” or “is widely regarded as” are vague and unconvincing because they have no basis for verification. These types of phrases might seem useful to condense research where you’ve discovered ubiquitous agreement on a particular position, but in those cases, it would be better to cite a series of authors or quote a particular instance rather than make a sweeping generalization. A properly placed quotation can articulate your position and provide substantiation at the same time. Most often a quotation is taken from the literature, but also sentences from a speech, scenes from a movie, elements of a painting, etc. may be quoted if they further the argument you’re trying to make.

Did it drive you crazy as a kid when an adult in your life told you you had to do something “Because I said so!,” and offered no other justification? Think of that when you’re about to write, “They say that … ,” or “Most people agree …” You’re not giving the reader any reason to believe you. They’re going to furrow their brows just as you did as a child, and your trust with your reader will be compromised.

Collecting Quotations

While you’re researching your topic, when a brilliantly worded sentence catches your eye, save it. When you find a statement summarizing evidence you plan to use or evidence you think you might use, save it. Look for statements that concur with your argument, but also for assertions that contradict your claims, as you’ll use these for refutation purposes. 

You can use programs like Zotero or EndNote, or simply drag the quotation into a document. Just make sure you’re also saving the complete source material (for both in-text citations and the reference page), so you won’t have to go searching for it later. If you can organize your quotations by topic, so much the better. They’ll be much easier to find when you need them.

When to Quote, Paraphrase, and Cite

It’s important first to recognize when citations are required. In the U.S., ideas are always attributed to the thinker or writer, as are any facts discovered through research. If you find information at a particular source, you’ll usually need to cite that source, though commonly known and accepted facts (such as the undisputed dates of a particular war, for example, or the pound equivalent of 32 ounces) need not be cited.

There are times when a quotation will give you maximum impact and times when paraphrasing is more effective. Look at the following alternatives in a paper about transforming cultural mores.

• “The weak can never forgive. Forgiveness is the attribute of the strong,” (Gandhi, 1931).
• In fact, as Gandhi said in 1931, offering forgiveness is not a display of weakness, but indeed, its opposite.

In this case, while the second sentence isn’t a bad summary of the idea, both the syntax of the direct quote and the reputation of the speaker make the quotation far more powerful than the paraphrased reference. Quotations are useful when the author is particularly well-known, when you want to add an air of authority to the information, and when the exact words are particularly eloquent or historically significant. This one meets all the criteria.

Here’s one from an essay about the use of alternative medicine: 

• One bright spot in the ongoing campaign against human trafficking has been the United Nations, founded after the World War II.

In this case, there’s no need to quote or paraphrase. The first part of the sentence is your opinion, and the second part is general and undisputed knowledge. Widely accepted facts like when the UN was founded needn’t be paraphrased or cited. If you were to then go on to tell us what exactly the UN has done to combat human trafficking, you’d need to cite your sources.

Here’s an example of paraphrasing:

• There are actually 69,436,660 registered Catholics in the United States (22% of the U.S. population) according to the American bishops’ count in their Official Catholic Directory 2013.

You wouldn’t need to quote the directory, because there’s no more power in the quote than in your summary of it. But since it is a precise number that isn’t common knowledge, you do need to cite it. Notice that the word “actually” is coloring the phrase. It’s the author’s way of disputing a possible perception that the religion is in decline. This is how using your own words gives the option of contextualizing. Paraphrasing gives you more flexibility with sentence structure and allows the reader to hear your unique voice and reasoning in the paper.

The catch with paraphrasing is that you need to be sure that all the words you’re using are actually your own, other than conventional terms and designations (like “registered Catholics”). If there are particular phrases within a work you’re paraphrasing that you’d like to quote directly, you’ll want to put quotes around those phrases, like this:

In Democracy Matters, for example, West advocates revisiting the foundation of the U.S. Constitution to recognize and counter “free market fundamentalism” which he believes, among other policies, has undercut the document’s intention (West, 2004). 

Here, the phrase “free market fundamentalism” is clearly a phrase unique to West’s work and must be recognized as such by using the quotation marks.

To Quote or to Paraphrase?

Consider whether you should quote, paraphrase, or simply state the following examples:

1. On life: “90 percent of it is half mental.” 
2. About 68 percent [of people over age 25 in the U.S.] do not have a bachelor’s degree.
3. Fewer homes were lost to fires in San Diego County last year than this year. 
4. Bitter herb combinations have been used for centuries to stimulate the digestive system.
5. “[The disappearance of honeybees] is the biggest general threat to our food supply.”

The first sentence is a good example of something you should quote. Knowing who said it (Yogi Berra) is important, because it’s an original thought, and because knowing the speaker is one reason why it’s funny. You wouldn’t want to paraphrase it because the exact words are important to the humor and the wording is unique to the speaker.

Number 2 could be paraphrased or quoted, but paraphrasing might be the better choice because you could leave out the brackets and put the statistic in context of whatever you’re writing about—for example, “In fact, despite the assumptions of many middle class parents, only about 32 percent of people living in the United States have completed a bachelor’s degree,” (2015, Politifact.com).

Number 3 is a bit of a gray area as far as citation is concerned. You might assume that it’s a common fact that could be found anywhere, and so you wouldn’t need to cite it. That said, it may depend on the context of the quote, and whether it’s a disputed idea. If your reader questions it, you’re going to lose credibility without a citation that he or she can follow up on. If it is disputed, you’ll want to paraphrase and cite the source. It’s not likely that quoting directly would provide more credibility, so it is therefore unnecessary.

Number 4 would generally not need to be cited, though you’ll likely be following it up with more specific information that will. You might consider that a quote from an herbalist or doctor offering the same information might give the skeptical reader a feeling of being on more solid ground. 

Number 5 is one you’ll want to quote directly, as the person who said it (Kevin Hackett, of the USDA) is a key person in the debate about honeybee colony collapse and what to do about it. You’ll note that there’s no question about whether or not to cite the source, because it’s an original thought, not a common fact.

You see, then, that while the issue of citation is relatively straightforward—when in doubt, cite—the question of quotation versus paraphrase is subtler. It’s a decision based both on the needs of the argument and artistic sensibility.  

The revision process will be helpful in this regard. You’ll notice if your paper plods from one quote to another, overwhelming the reader with other people’s words. You’ll also notice whether it seems less than authoritative and needs the backing of direct quotes. The citations, throughout, are a foundational element, showing the reader how your argument developed and why you think as you do about the subject. Let those whose shoulders you’re standing on support you, but don’t let them take over. It’s your paper, after all.

2.5.2: Introducing and Formatting Quotations

To quote an author, copy the author’s exact language and use quotation marks to show you are reproducing language from another source.

Learning Objective

Apply formatting rules for using quotations

Key Points

• Use quotation marks around a statement to give the original writer or speaker credit.
• When you introduce a quote, pay close attention to the proper use of quotation marks and related punctuation.
• To paraphrase is to restate another author’s point in your own words. When you paraphrase, you don’t need to use quotation marks, but you still need to give credit to the author and provide a citation. Otherwise, you are committing plagiarism.

Key Terms

quotation

A fragment of a human expression that is being referred to by somebody else.

paraphrase

A restatement of a text in different words, often to clarify meaning.

quotation marks

Symbols used to denote a quotation in writing, written at the beginning and end of the quotation.

Quoting versus Paraphrasing

Paraphrasing is using a particular idea that you took from another author and putting it in your own words. Quoting is using the exact words of another author. Both methods help you introduce another author’s work as a means of strategically improving the persuasiveness of your paper. Generally, you will choose a quotation rather than paraphrasing when you want to add an air of authority to the information you’re presenting, when the words you’re using are offered by a source important to your particular topic, or when the exact words have historical relevance or are particularly eloquent.

To quote an author, you should copy the author’s exact language and frame the words with quotation marks, which signals that you are reproducing exact language from another source. Quotation marks give full credit to the original author, so you’ll need to make it clear whose words they are.  

Introducing a Quotation

An introductory tag is one way to effectively introduce quotations. This is also known as a “signal phrase.” An introductory tag is a phrase that introduces a quote by providing the authority’s name and a strong verb. For example: 

Desmond Tutu counters, “Racism, xenophobia and unfair discrimination have spawned slavery, when human beings have bought and sold and owned and branded fellow human beings as if they were so many beasts of burden.”

This is only one way to introduce a quotation, however, and if it’s the only method you use, your paper could begin to sound stilted. Consider incorporating the quote into a sentence in other ways, as well. You may, for example, explain the quote before offering it:

Thousands of years ago, Gautama Buddha was offering teachings on how not to hold on to hostilities, saying: “You will not be punished for your anger, you will be punished by your anger.” This is by no means a new problem.

Formatting and Punctuating Quotations

Quotations call for special rules regarding punctuation:

If a quotation is introduced formally, use a colon.

• The author explicitly states: “Socrates was only a figment of Plato’s imagination.”

If a quotation is set off with “he said” or “she said” (or the implication of it), use a comma preceding the quotation.

Use an ellipsis (…) to indicate that there is more to the quote than you offer here.

• He brought listeners to tears when he ended his last broadcast with his familiar, “And that’s the way it is …”

If your quotation has a quotation within it, the inner quotation needs a pair of single quotation marks and the outer needs a pair of double quotation marks.

• This is the pivotal part of the story: “The doorman cried out, ‘You forgot your coat!’ as he ran after the cab.”

If you choose to break up a single-sentence quotation with your own words, use commas to offset the quotation from your explanation.

• “In the middle of the novel,” the critic claims, “the main character’s reflections are restricted by his sense of impending change.”

Periods and commas should be placed inside the quotation marks. Colons, semicolons, and dashes should be placed outside the quotation marks. Question marks and exclamation points should be placed inside the quotation marks, unless the punctuation applies to the whole sentence (not just the quote).

• When the team’s best player said, “We’re in for a bad season,” it became clear that the team’s morale was flagging.
• Was America really listening when President Kennedy said, “Ask what you can do for your country”?

When to Use Brackets Within Quotations 

When using quotations, you need to be very careful to copy the words as they appear in the source text. However, you may find that a quotation does not grammatically align with the way you want to use it, or that the relevance of the quotation may not be readily apparent to a reader. When that happens, you might want to change it slightly in order to make it fit your essay. In such cases, square brackets should be used around words not contained in the original quote.

Brackets can be used to do the following:

Clarify meaning: 

• “[Fiestas] are the lifeblood of this region. We need to honor our traditions even, and especially, after tragedy.” Sr. Gomez told reporters. (The original quotation used the pronoun “They,” in answer to a reporter’s question about a fiesta.)

Enclose a change in verb tense to better flow with your sentence:

• Silven maintained the assertion throughout his life: “It seems unlikely that this pairing [was] due to a human need for companionship.”

Enclose an explanatory phrase if a word isn’t clear:

• Renowned family therapist Virginia Satir once mused, “I have often thought had there been somebody like me around, something might have been able to be done [about her own divorce].”

Block Quotations

If you are using a long quotation (four or more typed lines), instead of quotation marks, you should indent the entire quotation five spaces. If the quote is two or more paragraphs, indent the first line of each paragraphs an additional five spaces (maintaining the indent of the rest of the quote). When using this format, you do not need to use quotation marks.

Quotation on a rock

A quote on the wall of Thierry Ehrmann’s “Abode of Chaos.” This graffiti-style quotation cites its source text and page number.

2.5.3: Paraphrasing

Appropriately paraphrasing the ideas of researchers and authors can add strength to your argument.

Learning Objective

Distinguish between paraphrasing and summarizing

Key Points

• When using your own words to discuss someone else’s work, you are paraphrasing; when you use the words of someone else, you are quoting. 
• Both methods help you to introduce another author’s work as a means of strategically improving the persuasiveness of your paper, by providing an example or evidence relevant to a claim that you have made.
• Arguments are more powerful when source material is woven through the paper with paraphrasing, saving quotations for moments of impact, authority, and eloquence.
• If a quotation needs to be substantially changed, it may be better to simply paraphrase the author’s ideas in your own words.
• Fully understanding the context of the words you’re paraphrasing, and citing the source completely, gives an authentic representation of the source and strengthens your argument.

Key Terms

context

The surroundings, circumstances, environment, or background that determine, specify, or clarify the meaning of a piece of writing.

quotation

A fragment of a human expression that is being referred to by somebody else.

citation

A paraphrase of a passage from a book, or from another person, for the purposes of a scholarly paper.

As you’re writing your paper, you’ll want to bring in evidence to support your claims. You’ll generally do this through paraphrasing and quoting what you’ve discovered in the research phase of your writing process. Here, we’ll focus on paraphrasing, noting its appropriate use and differentiating it from other forms of citations.

Paraphrasing Is Different from Summarizing

When you summarize an article or book, you’re providing an overview of the work, highlighting its major findings or themes. A summary is like looking at a distant source through a telescope: the general shape and ideas are clear, but the details are fuzzy. You may need to offer a summary if your topic is a book or a study potentially unknown to your reader, so that he or she has a basis for understanding the argument to come, but when offering evidence, you’ll usually be choosing to paraphrase rather than summarize.

You want to lead your reader, in your paper, along the path that brought you to your intellectual conclusion: the thesis statement you set out in the introduction. That means you’ll be presenting the reader with the research that convinced you of this statement, including statistics that impressed you, others’ arguments for or against a particular position, facts you encountered that shifted your perspective, and even stories or examples that touched you emotionally. These all came from somewhere, and you’ll want to share their origins with your readers. There are a couple reasons for this:

• Readers like to be able to check things out for themselves. You may tell them that 39.4% of adults in the U.S. are obese, but they may find that hard to believe. When they check out the source (the Centers for Disease Control), however, they’ll likely be convinced and more willing to accept the premise you’re building on.
• Citing sources makes you credible with both your audience and with those you’re paraphrasing. It shows you’re not pretending that the information you’ve gathered is solely from your own mind, but you’re building on what others have said, observed, and experienced. That’s what research is all about.

Paraphrasing will be the most common way to share with your readers what you’ve found. When you paraphrase, you’re maintaining the same level of detail as the original source (unlike summarizing), but you’re synthesizing what you’ve read to create a seamless argument.

Why Not Just Use Quotations?

Imagine how choppy a paper would be, jumping from one person’s words to another, to another, and another with only transition sentences in between. It would be very difficult to follow, and your own voice would be drowned out by all the “experts.” Expository writing isn’t about giving us other people’s opinions—it’s about giving us your own. Those other voices are there to support you and your argument.

What you’ll be doing, then, is writing what you think and weaving in evidence to support your thinking. For example, look at the following paragraph:

“An ethical approach, while both admirable and arguably an improvement in today’s educational system, does not go far enough as a method of truly connecting human beings to one another and to their true nature. In her book Caring: A Feminine Approach to Ethics and Moral Education, Nel Noddings offers a more feminine approach to education—one based on receptivity—that prioritizes caring over justice.”

You see here that the writer has a firm grasp of both the topic and the approach Nel Noddings describes. Even though he is citing evidence and even a specific source, the voice is still his, weaving Dr. Noddings’s thoughts into his own. This kind of weaving is the primary reason to use paraphrasing.

Another reason is to save direct quotations for impact. If you quote only when the source will offer an air of authority to your argument, when the exact words are either historically important or particularly eloquent, or when the source is of primary importance to your topic, the quotes will carry much more weight. In all other instances, paraphrasing will move the narrative along much more smoothly, tying it to your own style along the way.

Even when you want to use a quote, it sometimes needs to be changed so substantially to fit your narrative that it may be better to simply cite the author’s ideas in your own words.  

Authenticity in Paraphrasing

As with any instance of appealing to another author’s work within your own, whether you use paraphrasing or quotation, the primary criterion for use should always be its relevance to your thesis and claims. However, you’ll need to be sure that you’re not twisting or manipulating another author’s words to match your own purposes.

Make notes during the research phase on the context of each piece of evidence you find, and double-check that context for relevance to your own claim. This will ensure that you have not misused another author’s work for your own purposes. 

If you find an article that quotes a book, an interview, or another article, do your best to track down the original source so you can be sure of its context. For example, people sometimes quote Robert Frost as saying, “Good fences make good neighbors.” If you read the poem, however, you’ll find that the sentence is ironic: it’s a sad quip offered by the neighbor of the narrator in the poem, not a maxim for how to live well.

Forms of Citation

Another part of authenticity, of course, is citing your sources correctly and completely. The form of citation within the text will vary based on the style you’re asked to use, but you will need, at a minimum, the title of the work and the name of the collection (if any) it is in, the publication date, the author’s or authors’ name(s), the editor’s name, if any, and the page number(s) of the material you’re paraphrasing. All of this helps your reader find the source material.

Interlocking architectural components

Paraphrasing links your own thinking with the ideas and research of others, creating a strong and engaging argument.

2.6: Incorporating Objections and Opposing Views

2.6.1: The Importance of Addressing Opposing Views

When you consider and counteract opposing arguments, you strengthen your own argument.

Learning Objective

Match an argument to a corresponding counterargument

Key Points

• An argument is a written or spoken form of defense. An argument should take a stance about a particular point of view, thesis, or claim.
• Try to anticipate what objections your readers might have to your argument, and try to understand why they might object.
• An academic argument supports its claim with sound reasoning, research, and evidence such as facts, statistics, and quoted opinions from authorities on both sides of the argument.
• A skeptical reader has a doubtful, questioning attitude, and expects a thorough presentation of logical reasoning and evidence. This can be a helpful audience to keep in mind when writing your paper.
• In the research phase, gathering evidence against your argument will help you refute counterarguments in the writing stage.

Key Terms

counterargument

An argument that is opposed to another argument.

argument

An attempt to persuade someone of something, by giving reasons or evidence for accepting a particular conclusion.

refute

To prove something (a statement, theory, claim, argument) or someone wrong.

An argument must, by definition, take a stance on an issue and provide evidence for a particular conclusion. However, writers may neglect the next step, which is just as important: discussing opposing viewpoints and providing counterarguments.

Sincere Exploration of Counterarguments

Just as a criminal trial is ostensibly about finding out the truth of what happened during the crime, consider that the aim of your paper is to get to the truth of the issue you’re addressing. There is far less satisfaction in making a convincing argument if objections are left unanswered and evidence is swept under the rug. You wouldn’t want your verdict to be overturned on appeal!

Research Both Sides

The best way to counteract an opposing viewpoint is to anticipate what an opponent might say. When researching the topic, then, don’t limit yourself to sympathetic sources; find sources that disagree with your argument. Take note of their rationale and use of evidence. That way, you will be familiar enough with these opposing viewpoints to argue against them. When you encounter dissenting opinions, try to figure out why smart and rational people would hold those positions. What evidence do they look at? How do they interpret that evidence? Why might they disagree with your point of view?

When we’re passionate about a topic, emotions can sometimes cloud our rationality. We tend to have disdain for opposing arguments and aren’t open to even hearing what those on the other side have to say. To move yourself out of this emotional realm and back into the realm of the well-reasoned argument, try taking a strategy from debate tournaments. Debaters prepare for tournaments by gathering information on both sides of a topic. They actually don’t know which side they’ll be arguing until the debate begins, and so they must be just as prepared to argue the side they don’t agree with as the one they believe in. As you’re researching, then, take the debater’s approach to gathering information so you’ll be very well-informed about the opposing views.

Debate tournament

At a debate tournament, you don’t know what side of the argument you’ll be assigned to, so you have to research both sides!

Understand the Other Point of View

When you encounter these dissenting opinions, get curious. Try to figure out why smart and rational people would hold those positions. What evidence do they look at? How do they interpret that evidence? What life experiences might lead them to disagree with your point of view?

For example, a person who has grown up hunting in a community that has never experienced gun violence might have a very different perspective on gun control than someone whose child was the victim of a shooting. During the research phase, you’ll want to have a respectful vision of both these people in your mind to build an argument that might help increase the understanding of where the other is coming from.

Then, when you begin structuring your argument, imagine how your skeptical reader might react to your thesis statement and each of your claims. Imagine that this reader is smart, informed, has thought carefully about the issue, and has reached a totally different conclusion. Try to persuade this reader; work hard to demonstrate why your position is more convincing than the alternatives.

For example, to begin discussing the legalization of physician aid-in-dying with an audience that may be initially averse to the idea, you might begin with something like this: “The impending death of a loved one, particularly a person who can no longer communicate for herself, can pose intense ethical and emotional questions for those designated to make medical decisions for the patient. Hastening death can seem antithetical to the goals of medicine, and the artificial extension of life through invasive and/or risky medical procedures often does not provide an easier alternative. So, how might one go about making such fundamental decisions?”

Prove Your Point

Introducing opposing viewpoints is necessary, but do not stop there. The burden of proof is on you, as the author of the argument. If you fail to neutralize a common objection, readers will have an excuse to reject your argument. Just as you built your own argument, to refute opposing views, you’ll need to include evidence from research studies, statistics, and quoted opinions from experts.  

The strongest arguments are those which carefully consider all perspectives in an attempt to find the most reasonable view of the issue. Your readers will deeply appreciate your efforts because they show respect for both the seriousness of your mission and for the readers themselves. Enjoy the process!

Rugby

Anticipating your opponents’ objections can help you structure your arguments more soundly.

2.6.2: Techniques for Acknowledging Opposing Views

You can boost your credibility by acknowledging specific sources who disagree with your position, then effectively refuting their arguments.

Learning Objective

Modify language to be neutral in tone when presenting a counterargument

Key Points

• If the opposing view that you are considering and counteracting comes from another author, be sure to introduce the author and the point of view in a neutral way.
• Neutral language is not emotionally charged, biased, or polemical. Use neutral language when you present opposing viewpoints.
• Examples of neutral words are “contends,” “argues,” “suggests,” “admits,” “claims,” and “believes.”
• You can introduce counterarguments with direct quotations from an opposing expert by paraphrasing, by offering a rhetorical example, or by offering a conditional statement.
• Satire can be used in less formal essays to inject humor and relax the reader’s defenses.
• Using straw-man counterarguments and weakened oppositional statements, while somewhat tempting, will not serve to strengthen your own argument but will severely weaken it by causing the reader to lose respect for it.

Key Terms

straw man

An insubstantial concept, idea, endeavor, or argument, particularly one deliberately set up to be weakly supported, so that it can be easily knocked down; especially to impugn the strength of any related thing or idea.

concession

A literary device in which one acknowledges the merits of an opposing argument.

neutral

Favoring neither the supporting nor the opposing viewpoint of a topic of debate; unbiased.

credibility

Reputation impacting one’s ability to be believed.

opposition

An opposite or contrasting position.

Making a strong argument includes answering any of the potential objections that may form in a reader’s mind. Your job during the research phase is to find counterarguments and material to refute them, and in the drafting phase to construct your argument in a way that incorporates these objections and counterarguments. We’ll examine both phases here.

Finding Credible Sources for Counterarguments

You can boost your credibility by acknowledging specific sources who disagree with your position. If you summarize opposing views without attaching them to actual writers, it may appear as though you haven’t done your research. However, if you cite counterarguments from experts in the field, and then work to refute those arguments effectively, you can lend authority to your own argument.

As you’re researching, spend some time putting in search terms as if you were arguing for the opposition. If you consistently come from your side of the issue, you may miss articles by some of the stronger opponents. For example, if you’re arguing for hate-crime legislation and your search terms use only language related to that, you may find counterarguments based on free speech, but you may exclude those that oppose legislation on religious grounds. Beginning your search can be as simple as putting the question into a search engine: “Why would anyone oppose hate-crime legislation?”  

Of course, you don’t want to stop there. Just as with your own argument, you’ll want to find the best thinkers on the opposing side of the argument. Follow the path of each objection to discover its roots. Gather quotes summarizing their viewpoints and then go digging to find statistics and other research that both back and counter their claims.

If your mind is changed in the process, so be it! You can change your thesis and claims and argue for the other side of the issue. Either way, you’ll be gathering the best information from both sides of the argument to present to your audience.

Presenting Counterarguments in Your Paper

There are several ways to introduce to your reader the counterarguments you’ve uncovered: quoting a source for the counterargument, paraphrasing a source, or using your own words to offer a rhetorical example or conditional statement. Whichever way you choose to bring the counterargument into the discussion, however, you’ll want to use neutral language.

Using Neutral Language

Make it clear that you are presenting someone else’s viewpoint, but don’t use emotionally charged, biased, or polemical language to summarize it. Don’t dismiss your opposition from the outset with language like this: “John Smith naively argues …” Instead, you could say, “John Smith contends,” and then summarize John Smith’s view. You can go on to explain exactly why Smith’s opinion is naive—but make sure you give it a fair shot first. Here are some examples of neutral verbs you can use to introduce another author’s opposing view: “contends,” “argues,” “suggests,” “admits,” “claims,” “believes.”

There are many valid ways to introduce an opposing view, but do try to present it in a neutral manner before you shoot it down. The more your readers believe that you are being fair to your opponents, the more likely they are to be open to your refutation.

Quotations

You can quote an expert in the field who has publicly objected to the your thesis.  Or you can quote a politician or another public figure who has recently brought up the issue (keeping in mind that this latter option dates your paper), as long as you do it respectfully. For example:

“Raymond Rodriguez, arguing in ‘The Social Contract’ (Summer, 1992) for closing the Mexican border to immigration, suggests that ‘Regulating immigration is as important as enacting agreements to control trade and pollution of the environment—and for many of the same reasons. The violation of a nation’s territorial integrity, its safety and well-being, cannot be tolerated.’ Let’s look at each of these concerns in turn.”

You’ll notice first that the author has an Hispanic surname, which lends ethos to his perspective. You’ll also notice that the publication and date is included, so a reader can quickly and easily find the original source material. A reader might want to verify what you quote here and also see if you’ve manipulated the context in any way. (A reader might be wondering, “Did he really just compare immigrants to pollution?) You’ve presented his words respectfully, however, allowing them to speak for themselves. And the last sentence tells the reader you will deal with each of the concerns—violation of territorial integrity, safety, and well-being—in your refutation.

An advantage of using quotations is that you are allowing the opposition to speak for itself. Your reader can’t scoff that you’re offering an inaccurate summary of the argument, because you are using the opposing expert’s words.

Paraphrasing

Paraphrasing is a similar approach but allows you to contextualize the comment. You will want to resist the temptation to skew the comment’s meaning or to editorialize!

“Jones contends that Theseus serves as a counterpoint to Oberon and Titania, acting as a just and righteous monarch instead of falling sway to whims and personal desires.”

The author of this paper has already introduced the referenced expert and is here introducing a new portion of Jones’s counterargument. It’s presented reasonably and respectfully.

“Of course, there is a point to be made that nuclear energy creates less pollution than using coal or oil.”

This is called a concession. You are conceding that the opposing argument is not completely false. Of course, you will go on to explain why this counterargument is not conclusive, but as you introduce it, you show that you understand the logical and rational basis for the argument.

Using a Rhetorical Example or Conditional Statement

Another way to present a counterargument is to introduce it in your own words in the form of an example. In doing this, you’re acting as a proxy for your readers, voicing their potential objections, hopefully at just the moment those objections arise in their minds.

“All this talk about tolerance and the possibility of rehabilitation is nice in theory, but what if it was your own parent or child who was killed? Wouldn’t the meaning of a just society depend, then, on the court acting on your behalf?”

In this example, the writer is putting himself in his reader’s place, voicing one of the most common and understandable objections to his thesis. He has placed this objection just after his claim that all people should be given the opportunity for redemption, because he knows that that’s the claim that is most likely to ignite this counterargument in the reader’s mind. It’s a rhetorical example (someone killing a loved one) in the form of a series of questions.

A conditional statement (if x, then y) gives the reader’s objections a voice in the context of the writer’s argument

“If all people suddenly became vegan in order to save the planet, would that create an overpopulation of livestock that would then do even more damage to the planet?”

Here, the writer approaches concession by acknowledging that it makes sense to at least consider this counterargument. If this is true, then that may be true.  

While all of the above examples use a serious and respectful tone to introduce counterarguments, there is another option that can be effective, depending on your audience and your intentions.

Using Satire as a Refutation Strategy

Satire is a humorous tone that can be deployed in summarizing a position in order to not only draw out its shortcomings, but also to correct or change the shortcomings of the position. It is less likely to be used in academic writing.

For example, in a popular (as opposed to academic or professional) essay advocating for strictly enforced leash laws in cities, you might write something like this: 

“While it may seem like an act of pet-friendly beneficence and trust to allow your mutt to roam free in the streets, exercising his right to sniff and bite whomever he pleases, unrestrained animals in public places ultimately pose a potential threat to the safety of pedestrians.“

Well-done satire can make the reader smile, perhaps even if he or she is one of the pet-friendly owners referenced in the paragraph. It’s good for us to laugh at ourselves, and when we do so, we can relax our defenses and open up to the opposing argument.  

The trick is to use this technique without alienating readers, and that is not an easy balance. If your reader feels mocked, you’ve lost him. And even if your reader agrees with your thesis, she may be turned off completely by the lack of respect for other readers.

You can poke fun and be respectful at the same time. You’ll just need to use this technique with caution and care.

The Temptation to Weaken the Opposing Argument

You may be tempted to weaken an objection to your argument by turning it into a straw man, or a flimsy version of the original point. A straw-man argument can make a point overly simplistic, describe an incomplete concept or take a point out of context. You may have heard talk-radio hosts and opinion columnists employ this strategy. This tactic, however, results in the unfair labeling of others’ arguments as uninformed, feeble, or otherwise unworthy of a considerate response. In truth, the straw man is a well-known tactic, and readers can detect it quite easily. If you shortchange the opposing viewpoint, your readers will suspect that you are trying to compensate for shortcomings in your own argument.

Your argument will be much stronger if you present opposing viewpoints in a sympathetic light. Compare the following examples:

“Students claim that they cheat on tests because they are too busy to study. In reality, students can find the time to study if they learn time-management skills.”

“Students face many time constraints: between work and family obligations, social responsibilities, sports, clubs, and the expectations of professors, who all think their class should be the top priority, students can have trouble finding time to study for all of their tests. Some students admit that they see cheating as the only way to reconcile their conflicting obligations. However, students can find the time to study if they work on their time-management skills.”

The second example presents the argument more sympathetically and realistically. It acknowledges that students may face legitimate difficulties as they try to find time to study for all of their classes. Clearly, in the second example, the writer has considered this issue from the students’ perspective, and has attempted to find a solution that takes their concerns into account.

You’ll want to present counterarguments to your thesis in ways that respect those who disagree. That includes researching to find the thought leaders on the opposing side of your topic, presenting their arguments in an honest light, and then moving into respectful refutation.

2.6.3: Refuting Your Opposition

After you present the likely objections to your argument, you can show your readers why they should be willing to take your side.

Learning Objective

Outline the process for refuting an argument

Key Points

• Consider and counter opposing viewpoints in order to strengthen your own argument.
• Counter these objections by showing your reader that your position is more reasonable than the opposing position.
• It is important to clearly, completely, and respectfully state the opposing view.
• There are various ways to refute counterarguments in your paper, and selecting one will depend on your topic, your audience, and space/time limitations.
• In each refutation paragraph, you’ll want to state your opponent’s argument, clearly state your objection to that argument, support your objection with evidence and supportive statements, and then conclude with a comparison of the ideas.
• During the revision process, you’ll need to look for redundancy of information in claim and refutation paragraphs and check the structure for flow.

Key Term

viewpoint

The position from which something is observed or considered; an angle, outlook, or point of view.

Now that you’ve built a strong foundation of credibility by presenting the likely objections and reasoned opposition to your argument (respectfully, of course!), you can show your readers the flaws in these counterarguments. Remember, skeptical readers need to be convinced that your position is more reasonable than their own, and so your refutation will need to be both accurate and thorough. In the process, you’ll win support from both sides of the argument for your reasonable approach.

Where to Address Counterarguments

Depending on your writing style and material, your argument could follow various structural formats:

• Present your own argument first, and then present and counteract the opposing viewpoints.  

This structure has the advantage of putting your argument in people’s minds first, so it can be useful when you are space-limited or your audience is time-limited.

• Present the opposition’s views first, and then prove that your argument is more reasonable than the opposing views.

This strategy gets objections out in the open right away, which can be especially useful for radical or unexpected thesis statements. The approach here is, “I know what you’re thinking, but hang in there, and you’ll see where I’m coming from.”

• Alternate back and forth between your argument and opposing points.

Here, you acknowledge each objection as it’s likely to arise in the reader’s mind. You are anticipating what each claim might bring up for the reader and handling it immediately, so he or she has no opportunity to get hung up on the objection.

Structuring Your Refutation

There are four basic parts to a refutation of an opposing argument: you introduce the counterargument, state your objection to it, offer evidence to support your view, and draw a clear conclusion by comparing the viewpoints head to head.

Introduction 

“The opposition says …”

Present the view accurately and fairly, and possibly concede that there is reason or merit to this perspective. For example: “Opponents of the Animal Welfare Act claimed that the use of animal subjects in drug testing was absolutely necessary to save human lives.”

Objection

“However …”

Here, you state your objection to the view—the reason the reader should not accept the opposition’s viewpoint. It may be in the form of a question or statement. For example: “Is it accurate, however, to say that intelligent people are not susceptible to brainwashing?” Notice the use of the word “accurate.” While the counterargument might make some rational sense, have research and experience validated the assumption? You could phrase it as a statement, as opposed to a question. How are they different? Would the statement be more direct?

Support for Objection 

“Because …”

Support your objection with high-quality evidence, expert opinion, and solid reasoning: “The Bureau of Justice Statistics found that in 2005, punitive damages were awarded to only 5 percent of plaintiffs in civil trials.” Here, the writer uses both a widely respected source and statistics that refute the counterclaim. Colorful language, appeals to emotion, and rhetorical devices hold little weight against a clearly fleshed-out position supported by appropriate examples and solid evidence offered by reputable sources.

Conclusion 

“Therefore …”

In this fourth step, the conflict must be resolved. You’ve introduced two valid viewpoints. Why is yours the stronger one? “While job creation programs may indeed increase the nation’s short-term financial burden, the strategy of putting people back to work has consistently been proven to create a stronger economic and social fabric in the long run.” Concluding statements are not simply restatements of the claim but actual comparisons of the two approaches with a conclusion as to why one argument is superior.

Revising Counterarguments and Refutations

In the revision stage, you’ll want to look at the balance of the paper. Rather than addressing every possible objection to your thesis, you may decide at this point to eliminate the lesser objections, so as not to overload the paper with counterarguments.  

You’ll also need to look for redundancy. Make sure your claims and your refutations are not repetitive. If you have a refutation that simply repeats one of your claims, see if you can find a different way to refute the opposing argument. Your reader will lose interest the minute you get repetitive.

Finally, ensure that if your introduction and conclusion include counterargument scenarios (images, quotes, stories), they’re consistent with what you’ve found in the research. 

Objection!

To be an ace arguer, you’ll need to clearly state your objections to your opponent’s arguments and support your objections with evidence.

1.1: Introduction to College-Level Writing

1.1.1: Basic Principles of Academic Writing

Learning Objective

Contrast academic and popular writing

Key Points

• Academic writing makes a claim or an argument, and uses a combination of evidence (details and facts) and clear explanations of logical reasoning to support that claim in order to persuade the reader.
• Good academic writing is concise; rather than using flowery language and overly complex sentence structures, which can distract from an argument, writers should use the simplest language possible to let their ideas shine through.
• Academic writing usually uses objective language, which allows writers to convince the reader that their argument is true, rather than just subjective opinions.
• A good academic writer is able to see both sides of the argument, or claim, and counter it with supporting evidence. 

Key Terms

genre

A category or type of writing, usually in reference to different academic disciplines.

claim

An assertion, used as the basis for an academic piece of writing, that must be proven with evidence. 

counter-arguments

Ideas and evidence which refute or oppose the original claim.

analysis

A critical examination by the writer which draws connections (or notes disconnections) between points of evidence. 

academic writing

Writing that is published or presented to a specialized audience in order to inform, persuade, demonstrate, explore, or achieve some other specific purpose. 

“Academic writing” is a broad term that covers a wide variety of genres across disciplines. While its features will vary, academic (or scholarly) writing in general tries to maintain a professional tone while defending  a specific position or idea.

There are many different approaches to academic research, since each discipline has its own conventions that dictate what kinds of texts and evidence are permissible. Scholarly writing typically takes an objective tone, even though it argues in favor of a specific position or stance. Academic writing can reach a broader audience through more informal venues, such as journalism and public speaking.

Overarching Principles of Academic Writing

Academic writing comes in many forms and can cover a wide range of subject matter; however, successful writing will demonstrate certain conventions, no matter what is being written about. 

The Thesis Statement: Making and Supporting a Claim

Strong academic writing takes a stance on the topic it is covering—it tries to convince the reader of a certain perspective or claim. This claim is known as the “thesis statement.” The majority of an academic paper will be spent using facts and details to “prove” to the reader that the claim is true. How this is done depends on the discipline: in the sciences, a research paper will present an original experiment and data to support the claim; in a literature class, an essay will cite quotations from a text that weave into the larger argument. Regardless of discipline, the overarching goal of most academic writing is to persuade the reader to agree with the claim.

Concision

Concision is the art of using the fewest words possible to convey an idea. Some students mistakenly think that longer words and more complicated sentence structures make their writing “better” or more sophisticated. In reality, the longer and more complicated a sentence gets, the harder it is for a reader to interpret that sentence and stay engaged with your argument. For example, if you find yourself using a phrase like “due to the fact that,” you can simplify your wording and make your sentence more powerful by saying “because” instead. Similarly, say “now” or “currently” rather than “at this point in time.” Unnecessarily complicated wording distracts your reader from your argument; simpler sentence structures let your ideas shine through.

Objectivity

Most academic writing uses objective language. That is, rather than presenting the argument as the writer’s opinion (“I believe that …”, “I think this means …”), it tries to convince the reader that the argument is necessarily true based on the supporting facts: “this evidence reveals that …”

Breaking the Rules

There are countless examples of respected scholarly pieces that bend these principles—for instance, the “reader response” school of literary criticism abandons the objective stance altogether. However, you have to know the rules before you can break them successfully. 

Think of a chef putting chili powder in hot chocolate, a delicious but unexpected bending of a rule: typically, desserts are not spicy. In order to successfully break that rule, the chef first had to understand all the flavors at work in both ingredients, and make the choice knowing that it would improve the recipe. It’s only a good idea to break these rules and principles if there is a specific, good reason to do so. Therefore, if you plan to dispense with one of the conventions of academic writing, it is a good idea to make sure your instructor approves of your stylistic choice.

Building Academic Writing Skills

Academic work is an excellent way to develop strong research and writing skills. Try to use your undergraduate assignments to build your reading comprehension, critical and creative thinking, research and analytical skills. Having a specific, “real” audience will help you engage more directly with the reader and adapt to the conventions of writing in any given genre. 

The original Dallas Public Library

Across many academic disciplines, research is often required for writing assignments.

1.1.2: Developing Your Voice as a Writer

Learning Objective

Differentiate between voice and style 

Key Points

• While academic writing stresses formal conventions, opportunities exist to experiment with a wide range of styles and voices.
• A more casual writing style might include contractions, humor, exclamations, and/or familiar vocabulary. Others writings may include clause-heavy sentences, esoteric terminology, and formal language. Still others favor analogies, idioms, metaphors, and colorful imagery.
• “Authorial voice” is a characteristic of a writer’s distinctive style. It is an important element of academic writing, fiction, and nonfiction. 
• Voice is developed over time and through experience.

Key Terms

format

The arrangement of images, titles, headers, content, and other formal elements of writing within a work.

style

An author’s unique method of putting together words, phrases, sentences, analogies, metaphors, idioms, and expressions.

voice

The distinct personality that comes through in a writer’s work which may convey the author’s attitude and character.  It may represent the characteristic speech and thought patterns of the writer.  

You’ve probably heard that one quality found in good writing is voice. “Voice” refers to elements of the author’s tone, phrasing, and style that are recognizably unique to her or him. A distinctive, persuasive voice will successfully engage your audience — without it, your writing risks losing your reader despite your top notch research or how well you adhered to sound writing practices. Yes, academic writing has rules about format, style, and objectivity that you must follow, but these will not rescue boring, impersonal prose. Whatever you choose to write about, be certain to develop an authorial voice!

Having a “unique voice” does not translate into having a radically different style from others. In academic writing, voice boils down to seemingly insignificant small habits and personal preferences. But they matter! If each student in your class was told to explain a complex concept, not one would do it in the same way. Each would use different language and syntax to say the same basic thing.  Over time, each student would continue to make similar choices in language and syntax, and readers would eventually associate those choices with particular writers — each student would have developed an authorial voice.

Keep in mind that voice is not something you can automatically create. It may be tempting to use unusual syntax or fancy vocabulary hoping to make your writing stand out.  Be forewarned – that would not be your genuine style. There is no quick way to create a recognizable voice, as it can only be developed over time. The key to developing your voice is to keep writing and to think about what specific types of writing excite you. Pay attention to how you say things — what words you use, what sorts of phrases and sentence structures you favor, even what kind of punctuation appears in your work frequently. These are the choices that will eventually become markers of your authorial voice.

Individual style at the Ohio Renaissance Festival

Much like the people shown above dressed in different costumes, every writer has a distinct style. You should maintain the distinctive elements of your voice and style in the academic context. Even when you’re outside your comfortable, everyday environment, you can still find ways to express your unique style.

1.1.3: Getting Help Meeting College Writing Expectations

Learning Objective

Give examples of places to find campus resources for writing

Key Points

• The conventions of academic writing can be confusing at first, but there is no need to struggle alone.
• Colleges provide students with a variety of resources and advisers to help students adjust to writing at the collegiate level. Take advantage of whatever resources your college offers.
• Taking advantage of these resources has the added benefit of pushing you to begin the process early so you will have enough time to write and revise several drafts.
• Some colleges publish outstanding student work, which can provide valuable examples for you as you get used to academic writing.

Key Terms

workshop

A gathering of students who share brainstorming, research, drafting, revision, and editing tips by reading and responding to each other’s papers. 

writing center

A space (often both physical and online) that provides students with free assistance on papers, projects, reports, multimodal documents, web pages, etc. from instructor and peer consultants.

drafting

The process of beginning to write and revise a paper, with the understanding that no one else will see it.

The typical student enters college with a wealth of experience writing five-paragraph essays, book reports, and lab reports. Even the best students, however, need to make big adjustments to learn the conventions of academic writing. College-level writing obeys different rules, and learning them will help you hone your writing skills. Think of it as ascending another step up the writing ladder.

Many students feel intimidated asking for help with academic writing; after all, it’s something you’ve been doing your entire life in school. However, there’s no need to feel like it’s a sign of your lack of ability; on the contrary, many of the strongest student writers regularly get help and support with their writing (that’s why they’re so strong). College instructors are very familiar with the ups and downs of writing, and most universities have support systems in place to help students learn how to write for an academic audience. The following sections discuss common on-campus writing services, what to expect from them, and how they can help you.

Kings College, Cambridge

College writing can seem daunting at first, but there are methods to help you master it.

Writing Mentors

Learning to write for an academic audience is challenging, but universities offer various resources to guide students through the process. Most instructors will be happy to meet with you during office hours to discuss guidelines for writing about their particular discipline. If you have any doubts about research methods, paper structure, writing style, etc., address these uncertainties with the instructor before you hand in your paper, rather than waiting to see the critiques they write in the margins afterward. You are not bothering your instructor by showing up for office hours; they’ll be glad to see you.

Writing Centers

Most colleges have writing centers that are designed to help students meet college-level expectations. These centers usually offer one-on-one advisory meetings or group sessions that cover topics ranging from conducting research to conquering procrastination. Many writing centers employ student mentors from a wide range of disciplines, so try to work with one who deeply understands the field you’re writing in. 

Learning by Example

Many students like to learn by example, and find it very helpful to read other students’ academic writing. Some universities publish outstanding student essays. Some professors keep copies of student papers, and they may be willing to show you examples of writing that meets their expectations. Genuine student papers are universally better models to follow than any of the “sample essays” on the Internet. 

Student-Led Workshops

Some courses encourage students to share their research and writing with each other, and even offer workshops where students can present their own writing and offer constructive comments to their classmates. Independent paper-writing workshops provide a space for peers with varying interests, work styles, and areas of expertise to brainstorm. If you want to improve your writing, organizing a workshop session with your classmates is a great strategy. You can also ask your writing center to help you organize a workshop for a specific class or subject. In high school, students submit their work in multiple stages, from the thesis statement to the outline to a draft of the paper; finally, after receiving feedback on each preliminary piece, they submit a completed project. This format teaches students how to divide writing assignments into smaller tasks and schedule these tasks over an extended period of time, instead of scrambling through the entire process right before the deadline. Some college courses build this kind of writing schedule into major assignments. Even if your course does not, you can master the skill of breaking large assignments down into smaller projects instead of leaving an unmanageable amount of work until the last minute. Academic writing can, at times, feel overwhelming. You can waste a great deal of time staring at a blank screen or a troublesome paragraph, when it would be more productive to move on to drafting other parts of your paper. When you return to the problem section a few hours later (or, even better, the next day), the solution may be obvious. 

Writing in drafts makes academic work more manageable. Drafting gets your ideas onto paper, which gives you more to work with than the perfectionist’s daunting blank screen. You can always return later to fix the problems that bother you.

Scheduling the Stages of Your Writing Process

Time management, not talent, has been the secret to a lot of great writing through the ages. Not even a “great” writer can produce a masterpiece the night before it’s due. Breaking a large writing task into smaller pieces will not only save your sanity, but will also result in a more thoughtful, polished final draft.

Sample schedule: 

• Monday: Visit your instructor’s office hours to discuss ideas, sources, and structure for the essay. 
• Tuesday: Do research at the library from 5:00 to 9:00, taking detailed notes and planning how each piece of research will fit into your paper.
• Wednesday: Do research at the library from 2:00 to 6:00, take detailed notes, and give yourself permission to write an imperfect draft.
• Thursday: Begin a first draft of the essay.
• Friday: Continue expanding/editing the first draft.
• Saturday: Look again at the draft and continue to make changes/additions/deletions. 
• Sunday: Write a final draft. Print out your paper for proofreading (it’s worth it).
• Monday: Don’t look at the essay. However, if there are any remaining questions, go to your instructor’s office hours. 
• Tuesday: Revise, edit and proofread the essay one more time. Relax while everyone else in your class is panicking.
• Wednesday morning: Give the essay a final read and proofread, and print it out.
• Wednesday afternoon: Turn in your essay. 

Emailing Your Instructor 

Example Email

Subject: Expository Writing 101: Office hours on Tuesday               

Dear/Hello Professor [Last name], 

I have a few questions about the next essay assignment for Expository Writing 101. Would it be convenient to discuss them during your office hours on Tuesday? Let me know if there is a specific time when I should stop by. Thank you for your help with these assignments. 

Many thanks, 

[First name] [Last name]

Expository Writing 101; T, Th, 10:00

Tips for Emailing Your Instructor

• Be polite: Address your professor formally, using the title “Professor” with their last name. Depending on how formal your professor seems, use the salutation “Dear,” or a more informal “Hello” or “Hi.” Don’t drop the salutation altogether, though.
• Be concise. Instructors are busy people, and although they are typically more than happy to help you, do them the favor of getting to your point quickly. Sign off with your first and last name, the course number, and the class time. This will make it easy for your professor to identify you.
• Do not ever ask, “When will you return our papers?” If you MUST ask, make it specific and realistic (e.g., “Will we get our papers back by the end of next week?”).

1.1.4: Discussing Writing in Class

Learning Objective

Identify techniques for discussing writing in class effectively

Key Points

• The goal of classroom discussion is not only to promote comprehension of a shared text, but also to encourage students to listen to, understand, and exchange their assessments of a text.
• As a learning method, classroom discussions are generally more fun and interactive than simply listening to a teacher lecture or taking a written test.
• Class discussions encourage learning through active participation, comprehension, and listening. They help students to think, solve problems, listen to others, and analyze the ideas of other students, all while backing up their own thoughts with evidence from past class teachings. 
• Incorporating perspectives and ideas from class discussion into your paper allows you to strengthen connections between course concepts and demonstrate your engagement in what others have to say.
• In-class workshops can provide you with valuable feedback from your peers about how to improve your paper, and also teach you to be a more careful and critical reader of your own and others’ work. 

Key Term

workshop

A discussion in which people can give one another feedback on each other’s writing.

Classroom Discussions

Classroom discussion isn’t simply a way of gaining points; it’s an essential part of learning, comprehending, and sharing knowledge. Class discussion is often used together with other forms of assessment to calculate your grade, even if there are no points expressly awarded. Together with lectures and individual study, discussing course readings and materials with your peers and the instructor can open up new insights that are impossible to achieve on your own. In order to get the most out of class discussion, the instructor and all students should engage in an actual conversation, not simply question-and-answer. 

Classroom discussion

This class discussion is engaging.

As a learning method, classroom discussions are generally more fun and interactive than simply listening to a teacher lecture or doing written work. When presenting a question to a class of students, teachers open up the classroom discussion to different ideas, opinions, and questions, and can mediate while students come up with their own conclusions. Class discussions encourage learning through active participation, comprehension, and listening. They help students to think, solve problems, listen to others, and analyze the ideas of other students, all while backing up their own thoughts with evidence from past class teachings. Discussions also encourage the practice of informal oral communication, which is a much-needed skill later in life.

When participating in a class discussion, the following strategies are effective:

• Try to stay on topic. Outside references are often good for context, but remember that the focus here is on learning. 
• Try to use relevant vocabulary from the lesson to confirm your understanding of new concepts and demonstrate your authority. 
• Try to build upon the ideas of others; listen and respond as much as you speak. 
• Always be respectful to others, especially if someone in the discussion offers an opinion that differs from your own.
• Try to provide constructive criticism to others regarding their thoughts, comments, or work: “I think you’re on the right track here, but this point doesn’t seem to be supported with direct evidence.”
• Don’t get too worked up if you disagree with the instructor or another student. A strong emotional response is good, since it indicates you’re engaged with the topic, but always keep a calm demeanor to show your classmates your ability to work in this setting without getting angry or flustered.

Writing Workshops

A workshop is a special kind of classroom discussion in which students discuss each other’s work. The advice given above on class discussions also applies when you and your peers are given time in class (or in a group study session, in the writing center, etc.) to workshop drafts of each other’s papers. A writing workshop is an excellent way to get suggestions from peers that help you improve your paper, since fellow students may be able to offer a perspective your instructor cannot. Constructive, focused workshop critiquing also allows you to become a more critical reader and writer. Here are some questions that might be helpful for class discussions about student writing: 

• What is the author saying in this text? 
• Use three words to describe the tone and style the author uses in his/her argument. Is this the best tone and style to achieve the author’s purpose?
• Where does the author present rhetoric that is based on emotion? On facts? Which of these seem to be most prevalent in the argument? 
• Why does the author think this argument matters? Have they convinced you that it matters? How might the “so what” factor be raised? 
• What special terminology does (or should) the author use? 
• How does this text relate to other things that have been read in this class?
• Give the author two positive comments, and three suggestions for improvement in the next draft. 

21.1: Types of International Business

21.1.1: Definition and Challenges of a Global Corporation

Learning Objective

Identify the most meaningful challenges encountered by multinational corporations (MNCs) when pursuing global markets and efficiencies

Key Points

• A multinational corporation (MNC) is present in several countries, which improves the company’s ability to maintain market share and earn higher profits.
• As GDP growth migrates from mature economies, such as the US and EU member states, to developing economies, such as China and India, it becomes highly relevant to capture growth in higher growth markets.
• Despite the general opportunities a global market provides, there are significant challenges in penetrating these markets. These consist of public relations, ethics, corporate structure, and leadership.
• Combining these challenges with the inherent opportunities a global economy presents, companies are encouraged to pursue high value opportunities while carefully controlling the risks involved.

Key Terms

economies of scope

Lowering average cost for a firm in producing two or more products through the common and recurrent use of proprietary know-how or an indivisible physical asset.

economies of scale

The characteristics of a production process in which an increase in the scale of the firm causes a decrease in the long run average cost of each unit.

value-chain

The series of operations necessary for a business to operate.

Global Corporations

A global company is generally referred to as a multinational corporation (MNC). An MNC is a company that operates in two or more countries, leveraging the global environment to approach varying markets in attaining revenue generation. These international operations are pursued as a result of the strategic potential provided by technological developments, making new markets a more convenient and profitable pursuit both in sourcing production and pursuing growth.

International operations are therefore a direct result of either achieving higher levels of revenue or a lower cost structure within the operations or value-chain. MNC operations often attain economies of scale, through mass producing in external markets at substantially cheaper costs, or economies of scope, through horizontal expansion into new geographic markets. If successful, these both result in positive effects on the income statement (either larger revenues or stronger margins), but contain the innate risk in developing these new opportunities.

Opportunities

As gross domestic product (GDP) growth migrates from mature economies, such as the US and EU member states, to developing economies, such as China and India, it becomes highly relevant to capture growth in higher growth markets. is a particularly strong visual representation of the advantages a global corporation stands to capture, where the darker green areas reppresent where the highest GDP growth potential resides. High growth in the external environment is a strong opportunity for most incumbents in the market.

GDP Growth Rate by Country

This map highlights where the strongest growth opportunities currently are, as of 2010. In that year China and India had the highest GDP growth rates.

Challenges

However, despite the general opportunities a global market provides, there are significant challenges MNCs face in penetrating these markets. These challenges can loosely be defined through four factors:

• Public Relations: Public image and branding are critical components of most businesses. Building this public relations potential in a new geographic region is an enormous challenge, both in effectively localizing the message and in the capital expenditures necessary to create momentum.
• Ethics: Arguably the most substantial of the challenges faced by MNCs, ethics have historically played a dramatic role in the success or failure of global players. For example, Nike had its brand image hugely damaged through utilizing ‘sweat shops’ and low wage workers in developing countries. Maintaining the highest ethical standards while operating in developing countries is an important consideration for all MNCs.
• Organizational Structure: Another significant hurdle is the ability to efficiently and effectively incorporate new regions within the value chain and corporate structure. International expansion requires enormous capital investments in many cases, along with the development of a specific strategic business unit (SBU) in order to manage these accounts and operations. Finding a way to capture value despite this fixed organizational investment is an important initiative for global corporations.
• Leadership: The final factor worth noting is attaining effective leaders with the appropriate knowledge base to approach a given geographic market. There are differences in strategies and approaches in every geographic location worldwide, and attracting talented managers with high intercultural competence is a critical step in developing an efficient global strategy.

Combining these four challenges for global corporations with the inherent opportunities presented by a global economy, companies are encouraged to chase the opportunities while carefully controlling the risks to capture the optimal amount of value. Through effectively maintaining ethics and a strong public image, companies should create strategic business units with strong international leadership in order to capture value in a constantly expanding global market.

21.1.2: Countertrade

Learning Objective

Explain the various methods of countertrading

Key Points

• Countertrade is the exchange of goods or services for other goods or services. This system can be typified as simple bartering, switch trading, counter purchase, buyback, or offset.
• Switch trading: Party A and B are countertrading salt for sugar. Party A may switch its obligation to pay Party B to a third party, known as the switch trader. The switch trader gets the sugar from Party B at a discount and sells it for money. The money is used as Party A’s payment to Party B.
• Counter purchase: Party A sells salt to Party B. Party A promises to make a future purchase of sugar from Party B.
• Buyback: Party A builds a salt processing plant in Country B, providing capital to this developing nation. In return, Country B pays Party A with salt from the plant.
• Offset agreement: Party A and Country B enter a contract where Party A agrees to buy sugar from Country B to manufacture candy. Country B then buys that candy.

Key Terms

Switch trading

Practice in which one company sells to another its obligation to make a purchase in a given country.

counter purchase

Sale of goods and services to one company in another country by a company that promises to make a future purchase of a specific product from the same company in that country.

barter

The exchange of goods or services without involving money.

Examples

• Bartering: One party gives salt in exchange for sugar from another party.
• Switch trading: Party A and Party B are countertrading salt for sugar. Party A may switch its obligation to pay Party B to a third party, known as the switch trader. The switch trader gets the sugar from Party B at a discount and sells it for money. The money is used as Party A’s payment to Party B.
• Counter purchase: Party A sells salt to Party B. Party A promises to make a future purchase of sugar from Party B.
• Buyback: Party A builds a salt processing plant in Country B, providing capital to this developing nation. In return, Country B pays Party A with salt from the plant.
• Offset agreement: Party A and Country B enter a contract where Party A agrees to buy sugar from Country B to manufacture candy. Country B then buys that candy.

Countertrade means exchanging goods or services which are paid for, in whole or part, with other goods or services, rather than with money. A monetary valuation can, however, be used in counter trade for accounting purposes. Any transaction involving exchange of goods or service for something of equal value.

Bartering

Bartering involves exchanging goods or services for other goods or services as payment.

A newspaper illustration in Harper’s Weekly where two men engaging in a barter. One man offers chickens in exchange for his yearly newspaper subscription.

There are five main variants of countertrade:

1. Barter: Exchange of goods or services directly for other goods or services without the use of money as means of purchase or payment.
2. Switch trading: Practice in which one company sells to another its obligation to make a purchase in a given country.
3. Counter purchase: Sale of goods and services to one company in aother country by a company that promises to make a future purchase of a specific product from the same company in that country.
4. Buyback: This occurs when a firm builds a plant in a country, or supplies technology, equipment, training, or other services to the country, and agrees to take a certain percentage of the plant’s output as partial payment for the contract.
5. Offset: Agreement that a company will offset a hard currency purchase of an unspecified product from that nation in the future. Agreement by one nation to buy a product from another, subject to the purchase of some or all of the components and raw materials from the buyer of the finished product, or the assembly of such product in the buyer nation.

Countertrade also occurs when countries lack sufficient hard currency or when other types of market trade are impossible. In 2000, India and Iraq agreed on an “oil for wheat and rice” barter deal, subject to UN approval under Article 50 of the UN Persian Gulf War sanctions, that would facilitate 300,000 barrels of oil delivered daily to India at a price of $6.85 a barrel, while Iraq oil sales into Asia were valued at about $22 a barrel. In 2001, India agreed to swap 1.5 million tonnes of Iraqi crude under the oil-for-food program.

21.1.3: Multinational Firms

Learning Objective

Explain how a multinational corporation (MNC) operates

Key Points

• Multinational corporations operate in multiple countries.
• MNCs have considerable bargaining power and may negotiate business or trade policies with success.
• A corporation may choose to locate in a special economic zone, a geographical region that has economic and other laws that are more free-market-oriented than a country’s typical or national laws.

Key Term

Multinational corporation

A corporation or enterprise that operates in multiple countries.

Example

• McDonalds operates in over 119 different countries, making it a fairly large MNC by any standard

A multinational corporation (MNC) or multinational enterprise (MNE) is a corporation registered in more than one country or has operations in more than one country. It is a large corporation which both produces and sells goods or services in various countries . It can also be referred to as an international corporation. The first multinational corporation was the Dutch East India Company, founded March 20, 1602.

Ford 

Ford is a multinational corporation with operations throughout the world.

Corporations may make a foreign direct investment. Foreign direct investment is direct investment into one country by a company located in another country. Investors buy a company in the country or expand operations of an existing business in the country.

A corporation may choose to locate in a special economic zone, a geographical region with economic and other laws that are more free-market-oriented than a country’s typical or national laws.

Multinational corporations are important factors in the processes of globalization. National and local governments often compete against one another to attract MNC facilities, with the expectation of increased tax revenue, employment and economic activity. To compete, political powers push toward greater autonomy for corporations. MNCs play an important role in developing economies of developing countries.

Many economists argue that in countries with comparatively low labor costs and weak environmental and social protection, multinationals actually bring about a “race to the top.” While multinationals will see a low tax burden or low labor costs as an element of comparative advantage, MNC profits are tied to operational efficiency, which includes a high degree of standardization. Thus, MNCs are likely to adapt production processes in many of their operations to conform to the standards of the most rigorous jurisdiction in which they operate.

As for labor costs, while MNCs pay workers in developing countries far below levels in countries where labor productivity is high (and accordingly, will adopt more labor-intensive production processes), they also tend to pay a premium over local labor rates of 10% to 100%.

Finally, depending on the nature of the MNC, investment in any country reflects a desire for a medium- to long-term return, as establishing a plant, training workers and so on can be costly. Therefore, once established in a jurisdiction, MNCs are potentially vulnerable to arbitrary government intervention like expropriation, sudden contract renegotiation and the arbitrary withdrawal or compulsory purchase of licenses. Thus both the negotiating power of MNCs and the “race to the bottom” critique may be overstated while understating the benefits (besides tax revenue) of MNCs becoming established in a jurisdiction.

21.1.4: Direct Investment

Learning Objective

Explain the effects of foreign direct investment (FDI) for the investor and the host country

Key Points

• FDI is the flow of investments from one company to production in a foreign nation, with the purpose of lowering labor costs and gaining tax incentives.
• FDI can help the economic situations of developing countries, as well as facilitate progressive internal policy reforms.
• A major contributing factor to increasing FDI flow was internal policy reform relating to trade openness and participation in international trade agreements and institutions.

Key Term

Foreign direct investment

investment directly into production in a country by a company located in another country, either by buying a company in the target country or by expanding operations of an existing business in that country.

Example

• Intel is headquartered in the United States, but it has made foreign direct investments in a number of Southeast Asian countries where they produce components of their products in Intel-owned factories.

Foreign direct investment (FDI) is investment into production in a country by a company located in another country, either by buying a company in the target country or by expanding operations of an existing business in that country.

FDI is done for many reasons including to take advantage of cheaper wages in the country, special investment privileges, such as tax exemptions, offered by the country as an incentive to gain tariff-free access to the markets of the country or the region. FDI is in contrast to portfolio investment which is a passive investment in the securities of another country, such as stocks and bonds.

One theory for how to best help developing countries, is to increase their inward flow of FDI. However, identifying the conditions that best attract such investment flow is difficult, since foreign investment varies greatly across countries and over time. Knowing what has influenced these decisions and the resulting trends in outcomes can be helpful for governments, non-governmental organizations, businesses, and private donors looking to invest in developing countries.

Sao Paulo, Brazil

Sao Paulo, Brazil, is home to a growing middle class and significant direct investments.

Paulista Avenue in Sao Paulo, Brazil.

A study from scholars at Duke University and Princeton University published in the American Journal of Political Science, “The Politics of Foreign Direct Investment into Developing Countries: Increasing FDI through International Trade Agreements,” examines trends in FDI from 1970 to 2000 in 122 developing countries to assess what the best conditions are for attracting investment. The study found the major contributing factor to increasing FDI flow was internal policy reform relating to trade openness and participation in international trade agreements and institutions. The researchers conclude that, while “democracy can be conducive to international cooperation,” the strongest indicator for higher inward flow of FDI for developing countries was the number of trade agreements and institutions to which they were party.

21.1.5: Offshoring

Learning Objective

Explain the benefits of offshoring

Key Points

• Offshoring is the relocation of certain business processes from one country to the other, resulting in large tax breaks and lower labor costs.
• Offshoring can cause controversy in a company’s domestic country since it is perceived to impact the domestic employment situation negatively.
• Offshoring of a company’s services that were previously produced domestically can be advantageous in lowering operation costs, but has incited some controversy over the economic implications.

Key Terms

offshoring

The location of a business in another country for tax purposes.

outsourcing

The transfer of a business function to an external service provider.

captive

held prisoner; not free; confined

“Offshoring” is a company’s relocation of a business process from one country to another. This typically involves an operational process, such as manufacturing, or a supporting process, such as accounting. Even state governments employ offshoring. More recently, offshoring has been associated primarily with the sourcing of technical and administrative services that support both domestic and global operations conducted outside a given home country by means of internal (captive) or external (outsourcing) delivery models.The subject of offshoring, also known as “outsourcing,” has produced considerable controversy in the United States. Offshoring for U.S. companies can result in large tax breaks and low-cost labor.

Worldwide Offshoring Business

The worldwide offshoring business is projected to equal $500 billion by 2020.

A chart that shows growth in the worldwide offshoring business.

Offshoring can be seen in the context of either production offshoring or services offshoring. After its accession to the World Trade Organization (WTO) in 2001, the People’s Republic of China emerged as a prominent destination for production offshoring. Another focus area includes the software industry as part of Global Software Development and the development of Global Information Systems. After technical progress in telecommunications improved the possibilities of trade in services, India became a leader in this domain; however, many other countries are now emerging as offshore destinations.

The economic logic is to reduce costs. People who can use some of their skills more cheaply than others have a comparative advantage. Countries often strive to trade freely items that are of the least cost to produce.

Related terms include “nearshoring,” “inshoring,” and “bestshoring,” otherwise know as “rightshoring.” Nearshoring is the relocation of business processes to (typically) lower cost foreign locations that are still within close geographical proximity (for example, shifting United States-based business processes to Canada/Latin America). Inshoring entails choosing services within a country, while bestshoring entails choosing the “best shore” based on various criteria. Business process outsourcing (BPO) refers to outsourcing arrangements when entire business functions (such as Finance & Accounting and Customer Service) are outsourced. More specific terms can be found in the field of software development; for example, Global Information System as a class of systems being developed for/by globally distributed teams.

21.1.6: Outsourcing

Learning Objective

Explain why companies outsource

Key Points

• Outsourcing is the contracting of business processes to external firms, usually in developing countries where labor costs are cheaper.
• This practice has increased in prevalence due to better technology and improvements in the educational standards of the countries to which jobs are outsourced.
• The opposite of outsourcing is called insourcing, and it is sometimes accomplished via vertical integration. However, a business can provide a contract service to another business without necessarily insourcing that business process.

Key Terms

insourcing

The obtaining of goods or services using domestic resources or employees as opposed to foreign.

outsourcing

The transfer of a business function to an external service provider.

offshoring

The location of a business in another country for tax purposes.

Example

• Corporations may outsource their helpdesk or customer service functions to 3rd party call centers in foreign countries because these skilled laborers can do these jobs at a lesser cost than their equivalents in the domestic country.

Outsourcing

Overview

Outsourcing is the contracting out of a business process, which an organization may have previously performed internally or has a new need for, to an independent organization from which the process is purchased back as a service. Though the practice of purchasing a business function—instead of providing it internally—is a common feature of any modern economy, the term outsourcing became popular in America near the turn of the 21^st century. An outsourcing deal may also involve transfer of the employees and assets involved to the outsourcing business partner. The definition of outsourcing includes both foreign or domestic contracting , which may include offshoring, described as “a company taking a function out of their business and relocating it to another country. “

Outsourcing

Outsourcing is the process of contracting an existing business process to an independent organization. The process is purchased as a service.

Businessmen talk and shake hands.

The opposite of outsourcing is called insourcing, and it is sometimes accomplished via vertical integration. However, a business can provide a contract service to another business without necessarily insourcing that business process.

Reasons for Outsourcing

Companies outsource to avoid certain types of costs. Among the reasons companies elect to outsource include avoidance of burdensome regulations, high taxes, high energy costs, and unreasonable costs that may be associated with defined benefits in labor union contracts and taxes for government mandated benefits. Perceived or actual gross margin in the short run incentivizes a company to outsource. With reduced short run costs, executive management sees the opportunity for short run profits while the income growth of the consumers base is strained. This motivates companies to outsource for lower labor costs. However, the company may or may not incur unexpected costs to train these overseas workers. Lower regulatory costs are an addition to companies saving money when outsourcing.

Import marketers may make short run profits from cheaper overseas labor and currency mainly in wealth consuming sectors at the long run expense of an economy’s wealth producing sectors straining the home county’s tax base, income growth, and increasing the debt burden. When companies offshore products and services, those jobs may leave the home country for foreign countries at the expense of the wealth producing sectors. Outsourcing may increase the risk of leakage and reduce confidentiality, as well as introduce additional privacy and security concerns.

21.1.7: Licensing

Learning Objective

Identify the benefits and risks associated with licensing as a foreign market entry model

Key Points

• Foreign market entry options include exporting, joint ventures, foreign direct investment, franchising, licensing, and various other forms of strategic alliance.
• Of these potential entry models, licensing is relatively low risk in terms of time, resources, and capital requirements.
• Advantages of licensing include localization through a foreign partner, adherence to strict international business regulations, lower costs, and the ability to move quickly.
• Disadvantages to this entry mode include loss of control, potential quality assurance issues in the foreign market, and lower returns due to lower risk.
• When deciding to license abroad, careful due diligence should be done to ensure that the licensee is a strong investment for the licensor and vice versa.

Key Terms

licensee

In a licensing relationship, the buyer of the produce, service, brand or technology being licensed.

licensor

In a licensing relationship, the owner of the produce, service, brand or technology being licensed.

When considering entering international markets, there are some significant strategic and tactical decisions to be made. Exporting, joint ventures, direct investment, franchising, licensing, and various other forms of strategic alliance can be considered as market entry modes. Each entry mode has different pros and cons, addressing issues like cost, control, speed to market, legal barriers, and cultural barriers with different degrees of efficiency.

Licensing

The 1933 Fiat 508 was manufactured under a license in Poland by Polski Fiat.

What is Licensing

A licensor (i.e. the firm with the technology or brand) can provide their products, services, brand and/or technology to a licensee via an agreement. This agreement will describe the terms of the strategic alliance, allowing the licensor affordable and low risk entry to a foreign market while the licensee can gain access to the competitive advantages and unique assets of another firm. This is potentially a strong win-win arrangement for both parties, and is a relatively common practice in international business.

Let’s consider an example. The licensor is a company involved in energy health drinks. Due to food import regulations in Japan, the licensor cannot sell the product at local wholesalers or retailers. In order to circumvent this strategic barrier, the licensor finds a local sports drink manufacturer to license their recipe to. In exchange, the licensee sells the product locally under a local brand name and kicks back 15% of the overall revenues to the licensor.

The Pros and Cons

Before deciding to use licensing as an entry strategy, it’s important to understand in which situations licensing is best suited.

Advantages

Licensing affords new international entrants with a number of advantages:

• Licensing is a rapid entry strategy, allowing almost instant access to the market with the right partners lined up.
• Licensing is low risk in terms of assets and capital investment. The licensee will provide the majority of the infrastructure in most situations.
• Localization is a complex issue legally, and licensing is a clean solution to most legal barriers to entry.
• Cultural and linguistic barriers are also significant challenges for international entries. Licensing provides critical resources in this regard, as the licensee has local contacts, mastery of local language, and a deep understanding of the local market.

Disadvantages

While the low-cost entry and natural localization are definite advantages, licensing also comes with some opportunity costs:

• Loss of control is a serious disadvantage in a licensing situation in regards to quality control. Particularly relevant is the licensing of a brand name, as any quality control issue on behalf of the licensee will impact the licensor’s parent brand.
• Depending on an international partner also creates inherent risks regarding the success of that firm. Just like investing in an organization in the stock market, licensing requires due diligence regarding which organization to partner with.
• Lower revenues due to relying on an external party is also a key disadvantage to this model. (Lower risk, lower returns.)

21.1.8: Importing

Learning Objective

Explain the methodology behind the selection of products to import

Key Points

• A country specializes in the export of goods for which it has a comparative advantage and imports those for which it has a comparative disadvantage. By doing so, the country can increase its welfare.
• Comparative advantage describes the ability of a country to produce one specific good more efficiently than other goods.
• A country enhances its welfare by importing a broader range of higher-quality goods and services at lower cost than it could produce domestically.

Key Terms

import

To bring (something) in from a foreign country, especially for sale or trade.

comparative advantage

The concept that a certain good can be produced more efficiently than others due to a number of factors, including productive skills, climate, natural resource availability, and so forth.

Example

• A country in certain tropical areas of the world has a comparative advantage at growing crops like sugar or coffee beans, but it would be much less efficient at growing wheat (due to the climate). Therefore, they should export their sugar/coffee beans and import wheat at a lower cost than trying to grow wheat themselves.

The term “import” is derived from the concept of goods and services arriving into the port of a country. The buyer of such goods and services is referred to as an “importer” and is based in the country of import whereas the overseas-based seller is referred to as an “exporter.” Thus, an import is any good (e.g. a commodity) or service brought in from one country to another country in a legitimate fashion, typically for use in trade. It is a good that is brought in from another country for sale.

Singapore

The Port of Singapore is one of the busiest ports in the world. Singapore has to import most of its food and consumer goods.

A large ship at the Port of Singapore.

Imported goods or services are provided to domestic consumers by foreign producers. An import in the receiving country is an export to the sending country. Imports, along with exports, form the basics of international trade. Import of goods normally requires the involvement of customs authorities in both the country of import and the country of export; those goods are often subject to import quotas, tariffs, and trade agreements. While imports are the set of goods and services imported, “imports” also means the economic value of all goods and services that are imported.

Imports are the inflow of goods and services into a country’s market for consumption. A country enhances its welfare by importing a broader range of higher-quality goods and services at lower cost than it could produce domestically. Comparative advantage is a concept often applied to importing and exporting. Comparative advantage is the concept that a country should specialize in the production and export of those goods and services that it can produce more efficiently than other goods and services, and that it should import those goods and services in which it has a comparative disadvantage.

21.1.9: Joint Ventures

Learning Objective

Outline the dynamics of a joint venture

Key Points

• Joint business ventures involve two parties contributing their own equity and resources to develop a new project. The enterprise, revenues, expenses and assets are shared by the involved parties.
• Since money is involved in a joint venture, it is necessary to have a strategic plan in place.
• As the cost of starting new projects is generally high, a joint venture allows both parties to share the burden of the project as well as the resulting profits.

Key Term

joint venture

A cooperative partnership between two individuals or businesses in which profits and risks are shared.

Example

• Sony Ericsson is a joint venture between Swedish telecom corporation Ericsson and Japanese electronics manufacturer Sony to develop cellular devices.

Joint Ventures

A joint venture is a business agreement in which parties agree to develop a new entity and new assets by contributing equity. They exercise control over the enterprise and consequently share revenues, expenses and assets.

Joint Venture

Sony Ericsson is a joint venture between Swedish telecom corporation Ericsson and Japanese electronics manufacturer Sony.

When two or more persons come together to form a partnership for the purpose of carrying out a project, this is called a joint venture. In this scenario, both parties are equally invested in the project in terms of money, time and effort to build on the original concept. While joint ventures are generally small projects, major corporations use this method to diversify. A joint venture can ensure the success of smaller projects for those that are just starting in the business world or for established corporations. Since the cost of starting new projects is generally high, a joint venture allows both parties to share the burden of the project as well as the resulting profits.

Since money is involved in a joint venture, it is necessary to have a strategic plan in place. In short, both parties must be committed to focusing on the future of the partnership rather than just the immediate returns. Ultimately, short term and long term successes are both important.To achieve this success, honesty, integrity and communication within the joint venture are necessary.

A consortium JV (also known as a cooperative agreement) is formed when one party seeks technological expertise, franchise and brand-use agreements, management contracts, and rental agreements for one-time contracts. The JV is dissolved when that goal is reached. Some major joint ventures include Dow Corning, MillerCoors, Sony Ericsson, Penske Truck Leasing, Norampac, and Owens-Corning.

21.1.10: Contract Manufacturing

Learning Objective

Compare the benefits and risks of employing a contract manufacturer (CM)

Key Points

• A hiring firm may enter a contract with a contract manufacturer (CM) to produce components or final products on behalf of the hiring firm for some agreed-upon price.
• There are many benefits to contract manufacturing, and companies are finding many reasons why they should be outsourcing their production to other companies.
• Production outside of the company does come with many risks attached. Companies must first identify their core competencies before deciding about contract manufacture.

Key Terms

Contract manufacturing

a business model where a firm hires another firm to produce components or products

Contract manufacturing

Business model in which a firm hires a contract manufacturer to produce components or final products based on the hiring firm’s design.

A contract manufacturer (“CM”) is a manufacturer that enters into a contract with a firm to produce components or products for that firm. It is a form of outsourcing. In a contract manufacturing business model, the hiring firm approaches the contract manufacturer with a design or formula. The contract manufacturer will quote the parts based on processes, labor, tooling, and material costs. Typically a hiring firm will request quotes from multiple CMs. After the bidding process is complete, the hiring firm will select a source, and then, for the agreed-upon price, the CM acts as the hiring firm’s factory, producing and shipping units of the design on behalf of the hiring firm.

Contract Manufacturing

Ness Corporation is a contract manufacturer in Seven Hills, Australia.

Benefits

Contract manufacturing offers a number of benefits:

• Cost Savings: Companies save on their capital costs because they do not have to pay for a facility and the equipment needed for production. They can also save on labor costs such as wages, training, and benefits. Some companies may look to contract manufacture in low-cost countries, such as China, to benefit from the low cost of labor.
• Mutual Benefit to Contract Site: A contract between the manufacturer and the company it is producing for may last several years. The manufacturer will know that it will have a steady flow of business at least until that contract expires.
• Advanced Skills: Companies can take advantage of skills that they may not possess, but the contract manufacturer does. The contract manufacturer is likely to have relationships formed with raw material suppliers or methods of efficiency within their production.
• Quality: Contract Manufacturers are likely to have their own methods of quality control in place that help them to detect counterfeit or damaged materials early.
• Focus: Companies can focus on their core competencies better if they can hand off base production to an outside company.
• Economies of Scale: Contract Manufacturers have multiple customers that they produce for. Because they are servicing multiple customers, they can offer reduced costs in acquiring raw materials by benefiting from economies of scale. The more units there are in one shipment, the less expensive the price per unit will be.

Risks

Balanced against the above benefits of contract manufacturing are a number of risks:

• Lack of Control: When a company signs the contract allowing another company to produce their product, they lose a significant amount of control over that product. They can only suggest strategies to the contract manufacturer; they cannot force them to implement those strategies.
• Relationships: It is imperative that the company forms a good relationship with its contract manufacturer. The company must keep in mind that the manufacturer has other customers. They cannot force them to produce their product before a competitor’s. Most companies mitigate this risk by working cohesively with the manufacturer and awarding good performance with additional business.
• Quality: When entering into a contract, companies must make sure that the manufacturer’s standards are congruent with their own. They should evaluate the methods in which they test products to make sure they are of good quality. The company has to ensure the contract manufacturer has suppliers that also meet these standards.
• Intellectual Property Loss: When entering into a contract, a company is divulging their formulas or technologies. This is why it is important that a company not give out any of its core competencies to contract manufacturers. It is very easy for an employee to download such information from a computer and steal it. The recent increase in intellectual property loss has corporate and government officials struggling to improve security. Usually, it comes down to the integrity of the employees.
• Outsourcing Risks: Although outsourcing to low-cost countries has become very popular, it does bring along risks such as language barriers, cultural differences, and long lead times. This could make the management of contract manufacturers more difficult, expensive, and time-consuming.
• Capacity Constraints: If a company does not make up a large portion of the contract manufacturer’s business, they may find that they are de-prioritized over other companies during high production periods. Thus, they may not obtain the product they need when they need it.
• Loss of Flexibility and Responsiveness: Without direct control over the manufacturing facility, the company will lose some of its ability to respond to disruptions in the supply chain. It may also hurt their ability to respond to demand fluctuations, risking their customer service levels.

21.1.11: Franchising

Learning Objective

Examine the benefits of international franchising

Key Points

• A franchise agreement is defined as the franchiser granting an entrepreneur or local company (the franchisee) access to its brand, trademarks, and products.
• Franchising is designed to enable large organizations rapid access to new markets with relatively low barriers to entry.
• Advantages of franchising (for the franchiser) include low costs of entry, a localized workforce (culturally and linguistically), and a high speed method of market entry.
• Disadvantages of franchising (for the franchiser) include loss of some organizational and brand control, as well as relatively lower returns than other strategic entry models (albeit, with lower risk).

Key Terms

franchisee

A holder of a franchise; a person who is granted a franchise.

franchiser

A franchisor, a company or person who grants franchises.

What is Franchising?

In franchising, an organization (the franchiser) has the option to grant an entrepreneur or local company (the franchisee) access to its brand, trademarks, and products. 

In this arrangement, the franchisee will take the majority of the risk in opening a new location (e.g. capital investments) while gaining the advantage of an already established brand name and operational process. In exchange, the franchisee will pay a certain percentage of the profits of the venture back to the franchiser. The franchiser will also often provide training, advertising, and assistance with products.

Why Franchise

Lower Barriers to Entry

Franchising is a particularly useful practice when approaching international markets. For the franchiser, international expansion can be both complex and expensive, particularly when the purchase of land and building of facilities is necessary. With legal, cultural, linguistics, and logistical barriers to entry in various global markets, the franchising model offers and simpler, cleaner solution that can be implemented relatively quickly.

Localization

Franchising also allows for localization of the brand, products, and distribution systems. This localization can cater to local tastes and language through empowering locals to own, manage, and employ the business. This high level of integration into the new location can create significant advantages compared to other entry models, with much lower risk.

Speed

It is also worth noting that franchising is a very efficient, low cost and quickly implemented expansionary strategy. Franchising requires very little capital investment on behalf of the parent company, and the time and effort of building the stores are similar outsources to the franchisee. As a result, franchising can be a way to rapidly expand both domestically and globally.

Starbucks’ Expansion

Starbucks operates with a wide variety of strategic alliances, including a franchising program. 

A chart that shows how various forms of strategic alliance can rapidly increase rates of expansion.

Downsides to Franchising

Franchising has some weaknesses as well, from a strategic point of view. Most importantly, organizations (the franchisers) lose a great deal of control. Quality assurance and protection of the brand is much more difficult when ownership of the franchise is external to the organization itself. Choosing partners wisely and equipping them with the tools necessary for high levels of quality and alignment with the brand values is critical (e.g., training, equipment, quality control, adequate resources).

It is also of importance to keep the risk/return ratio in mind. While the risk of franchising is much lower in terms of capital investment, so too is the returns derived from operations (depending on the franchising agreement in place). While it is a faster and cheaper mode of entry, it ultimately results in a profit share between the franchiser and the franchisee.

21.1.12: Exporting

Learning Objective

Explain how exports are accounted for in international trade

Key Points

• This term export is derived from the conceptual meaning as to ship the goods and services out of the port of a country.
• In national accounts “exports” consist of transactions in goods and services (sales, barter, gifts or grants) from residents to non-residents.
• Statistics on international trade do not record smuggled goods or flows of illegal services. A small fraction of the smuggled goods and illegal services may nevertheless be included in official trade statistics through dummy shipments that serve to conceal the illegal nature of the activities.

Key Terms

export

to sell (goods) to a foreign country

import

To bring (something) in from a foreign country, especially for sale or trade.

exporting

the sale of capital, goods, and services across international borders or territories

exporting

the act of selling to a foreign country

Example

• When individuals from Country A purchase goods from Country B, this process is known as exporting for Country B (since their goods are being sold) and importing for Country A (since they are buying the goods).

This term “export” is derived from the concept of shipping goods and services out of the port of a country . The seller of such goods and services is referred to as an “exporter” who is based in the country of export whereas the overseas based buyer is referred to as an “importer”. In international trade, exporting refers to selling goods and services produced in the home country to other markets.

Oil Exports 2006

The map shows barrels of oil exported per day in 2006. Russia and Saudi Arabia exported more barrels than any other oil-exporting countries.

Export of commercial quantities of goods normally requires the involvement of customs authorities in both the country of export and the country of import. The advent of small trades over the internet such as through Amazon and eBay has largely bypassed the involvement of customs in many countries because of the low individual values of these trades. Nonetheless, these small exports are still subject to legal restrictions applied by the country of export. An export’s counterpart is an import.

In national accounts, exports consist of transactions in goods and services (sales, barter, gifts, or grants) from residents to non-residents.The exact definition of exports includes and excludes specific “borderline” cases. A general delimitation of exports in national accounts is as follows: An export of a good occurs when there is a change of ownership from a resident to a non-resident; this does not necessarily imply that the good in question physically crosses any border. However, in specific cases, national accounts impute changes of ownership even though in legal terms no change of ownership takes place (e.g. cross border financial leasing, cross border deliveries between affiliates of the same enterprise, goods crossing the border for significant processing to order or repair). Smuggled goods must also be included in the export measurement.

Export of services consist of all services rendered by residents to non-residents. In national accounts, any direct purchases by non-residents in the economic territory of a country are recorded as exports of services; therefore, all expenditure by foreign tourists in the economic territory of a country is considered part of the export of services of that country. International flows of illegal services must also be included.

National accountants often need to make adjustments to the basic trade data in order to comply with national accounts concepts; the concepts for basic trade statistics often differ in terms of definition and coverage from the requirements in the national accounts:

Data on international trade in goods is mostly obtained through declarations to customs services. If a country applies the general trade system, all goods entering or leaving the country are recorded. If the special trade system (e.g., extra-EU trade statistics) is applied, goods which are received into customs warehouses are not recorded in external trade statistics unless they subsequently go into free circulation in the country of receipt.

21.2: The International Business Environment

21.2.1: Overview of the International Business Environment

International business offers substantial potential risks and returns from an organizational perspective.

Learning Objective

Recognize the complex factors that may impact an organization’s strategic decision to expand internationally

Key Points

• The modern economy is globally connected, and growing more so every day. Weighing the pros and cons of international expansion is a key strategic consideration.
• The multinational enterprise (MNE) is the primary player in international business. MNEs are present in virtually every industry nowadays.
• Entry modes for international businesses include global concentration, global synergies, and other strategic global motivations.
• With the complexity of international operating environments, organizations should consider economic, technological, legal, socio-cultural and environmental factors.
• Weighing the risks and potential returns and determining a required rate of return for an international expansion is a key aspect of global financial management.

Key Term

MNE

Or a multinational enterprise, MNEs are defined as organizations which operate across multiple political borders.

International business is an enormously relevant facet of the modern economy, and will only become more integrated into core business strategy as technology continues to progress. International business is simply the summation of all commercial transactions that take place between various countries (crossing political boundaries). This is not exclusively limited to the domain of business, as NGOs, governments, and coops also operate across country borders with a variety of objectives (aside from simple profitability).

From a business perspective, the primary incumbent in an international business environment is the multinational enterprise (MNE), which is a company that pursues strategic success in global production and sales (i.e. operating within a number of country borders). The number of examples of this type of firm is constantly growing. From fast food chains like McDonald’s to auto manufacturers like Honda to smartphone designers like Samsung, the number of international players in most markets is constantly on the rise.

Why Expand Globally?

Global expansion is costly and complex. To offset these costs and risks, organizations must have strong reasons for developing a global strategy. These reasons generally fit one (or more) of the following three strategic areas:

• Global Concentration – Depending upon the competitive concentration of a given industry in a given region, it may make sense to enter a market where competition is relatively scarce (and demand is high).
• Global Synergies – Some organizations have highly developed competencies that are easily scaled. In these situations, global expansion means natural synergy.
• Global Strategic Motivations – Other reasons for expansion to a given country may exist strategically, such as developing new sourcing sites for production or acquiring strategic assets in a given region.

External Factors Impacting Expansion

International expansion can be a costly and complex procedure. Before considering such a significant strategic move, management must weigh the external factors that will impact success during a global transition. These include:

• Socio-cultural: The social environment of a given region can have a significant impact on success. Food companies are highly impacted by this – certain cultures prefer certain types of foods.
• Geographic/Environmental – For example, skiing equipment may not do so well in regions without snow or mountains. Oil companies can only source oil from resource-rich regions.
• Legal/Political – Some countries have high barriers to entry, complex tax rates, and/or unclear legislative practices. Ease of doing business is critical here.
• Economic – The standard of living is different from region to region, and recognizing the value of a given market in terms of spending power, currency, and market size is critical to deciding upon expansion.
• Technology – Access to internet, electricity, clean water and a variety of other technological dependencies must be considered prior to entry if the organizational operations rely on easy access.

Weighing the pros and cons of entering a given reason, and calculating projected cash flows, costs, and required returns on investment are central financial considerations to entering a new international market.

Volume of Merchandise Exports

Despite a dip in 2008 as a result of the banking crisis and subsequent recession, the volume of global exports continues to rise even over this short time period. Globalization is an enormous source of growth.

Despite a dip in 2008 as a result of the banking crisis and subsequent recession, the volume of global exports continues to rise even over this short time period. Globalization is an enormous source of growth.

21.3: Factors Impacting Exchange Rates

21.3.1: Overview of Exchange Rates

An exchange rate between two currencies is the rate at which one currency will be exchanged for another.

Learning Objective

Describe how economic forces influence exchange rates

Key Points

• An exchange rate between two currencies is the rate at which one currency will be exchanged for another. It is also regarded as the value of one country’s currency in terms of another currency.
• Quotes using a country’s home currency as the price currency are known as direct quotation. Quotes using a country’s home currency as the unit currency are known as indirect quotation. Using direct quotation, if the home currency is strengthening, then the exchange rate number decreases.
• There are many factors that impact exchange rates, such as inflation, interest rates, balance of payments, and government policy.

Key Terms

Interest rate parity

a no-arbitrage condition representing an equilibrium state under which investors will be indifferent to interest rate available on bank deposits in two countries.

balance of payment

an accounting record of all monetary transactions between a country and the rest of the world. These transactions include payments for the country’s exports and imports of goods, services, financial capital, and financial transfers. The BoP accounts summarize international transactions for a specific period, usually a year, and are prepared in a single currency, typically the domestic currency for the country concerned.

arbitrage

Any market activity in which a commodity is bought and then sold quickly, for a profit which substantially exceeds the transaction cost

Overview of Exchange Rates

In finance, an exchange rate (also known as the foreign-exchange rate, forex rate, or FX rate) between two currencies is the rate at which one currency will be exchanged for another. It is also regarded as the value of one country’s currency in terms of another currency. For example, an interbank exchange rate of 91 Japanese yen (JPY ¥) to the United States dollar (US $) means that ¥91 will be exchanged for each US $1 or that US $1 will be exchanged for each ¥91 .

Exchange rates

Exchange rates displayed in Thailand

Quotes using a country’s home currency as the price currency (e.g., EUR 0.735342 = USD 1.00 in the eurozone) are known as direct quotation or price quotation (from that country’s perspective) and are used by most countries.

Quotes using a country’s home currency as the unit currency (e.g., EUR 1.00 = USD 1.35991 in the eurozone) are known as indirect quotation or quantity quotation and are used in British newspapers and are also common in Australia, New Zealand, and the eurozone.

Using direct quotation, if the home currency is strengthening (i.e., appreciating, or becoming more valuable), the exchange rate number decreases. Conversely, if the foreign currency is strengthening, the exchange rate number increases and the home currency is depreciating.

A market based exchange rate will change whenever the values of either of the two component currencies change. A currency will tend to become more valuable whenever demand for it is greater than the available supply. It will become less valuable whenever demand is less than available supply (this does not mean people no longer want money, it just means they prefer holding their wealth in some other form, possibly another currency).

Factors that Impact Exchange Rates

There are many factors that impact exchange rates, such as inflation, interest rates, balance of payments, and government policy.

Inflation deteriorates the purchasing power of a currency. As there is high inflation, the demand for the currency will go down. Decreased demand for a currency makes the price of it will drop. In other words, the currency will depreciate. This is presented by a higher exchange rate if the exchange rate is quoted as home currency / 1 foreign currency.

Uncovered interest rate parity states that an appreciation or depreciation of one currency against another currency might be neutralized by a change in the interest rate differential. If US interest rates increase while Japanese interest rates remain unchanged, the US dollar should depreciate against the Japanese yen by an amount that prevents arbitrage. In sum, if other things remain unchanged, one currency will appreciate or depreciate if interest rates in the country increase or decrease.

Exchange rates can also be affected by the balance of payment. The balance of payment model holds that a foreign exchange rate must be at its equilibrium level, which is the rate which produces a stable current account balance. A nation with a trade deficit will experience a reduction in its foreign exchange rate reserves, which ultimately lowers (depreciates) the value of its currency. The cheaper currency renders the nation’s goods (exports) more affordable in the global marketplace while making imports more expensive. After an intermediate period, imports are forced down and exports rise, thus stabilizing the trade balance and the currency toward equilibrium.

Countries may gain an advantage in international trade if they manipulate the value of their currency by artificially keeping its value low, typically by the national central bank engaging in open market operations. It is argued that the People’s Republic of China has succeeded in doing this over a long period of time. In 2010, other nations, including Japan and Brazil, attempted to devalue their currency in the hopes of subsidizing cheap exports and bolstering their ailing economies. A low exchange rate lowers the price of a country’s goods for consumers in other countries but raises the price of goods, especially imported goods, for consumers in the manipulating country.

21.4: Types of Rates and Transactions

21.4.1: Spot Rates, Forward Rates, and Cross Rates

Spot & forward rates are settlement prices of spot & forward contracts; cross rates are the exchange rate between two unofficial currencies.

Learning Objective

Differentiate between spot rates, forward rates, and cross rates

Key Points

• A spot contract is a contract of buying or selling a commodity, security or currency for settlement (payment and delivery) on the spot date, which is normally two business days after the trade date. The settlement price (or rate) is called spot price or spot rate.
• A spot contract is in contrast with a forward contract where contract terms are agreed now but delivery and payment will occur at a future date. The settlement price of a forward contract is called forward price or forward rate.
• Spot rates can be used to calculate forward rates. In theory, the difference in spot and forward prices should be equal to the finance charges, plus any earnings due to the holder of the security, according to the cost of carry model.
• A cross rate is the currency exchange rate between two currencies, both of which are not the official currencies of the country in which the exchange rate quote is given in.

Key Term

bootstrapping method

In finance, bootstrapping is a method for constructing a (zero-coupon) fixed-income yield curve from the prices of a set of coupon-bearing products (e.g., bonds and swaps).Using these zero-coupon products, it becomes possible to derive par swap rates (forward and spot) for all maturities by making a few assumptions (including linear interpolation). The term structure of spot returns is recovered from the bond yields by solving for them recursively, by forward substitution. This iterative process is called the Bootstrap Method.

Spot Rates

In finance, a spot contract, spot transaction, or simply “spot,” is a contract of buying or selling a commodity, security, or currency for settlement (payment and delivery) on the spot date, which is normally two business days after the trade date. The settlement price (or rate) is called a “spot price” or “spot rate. “

For bonds, spot rates are estimated via the bootstrapping method, which uses prices of the securities currently trading in market, that is, from the cash or coupon curve. The result is the spot curve, which exists for fixed income securities.

Forward Rates

A spot contract is in contrast with a forward contract where contract terms are agreed now but delivery and payment will occur at a future date. The settlement price of a forward contract is called a “forward price” or “forward rate. ” Depending on the item being traded, spot prices can indicate market expectations of future price movements. In other words, spot rates can be used to calculate forward rates. In theory, the difference in spot and forward prices should be equal to the finance charges, plus any earnings due to the holder of the security, according to the cost of carry model. For example, on a share, the difference in price between the spot and forward is usually accounted for almost entirely by any dividends payable in the period minus the interest payable on the purchase price.

If the underlying asset is tradeable, the forward price is given by:

Forward rate

On a share, the difference in price between the spot and forward is usually accounted for almost entirely by any dividends payable in the period minus the interest payable on the purchase price.

where F is the forward price to be paid at time, T^ex is the exponential function (used for calculating compounding interests), r is the risk-free interest rate, q is the cost-of-carry, S₀ is the spot price of the asset (i.e., what it would sell for at time 0), D_i is a dividend which is guaranteed to be paid at time t_i where 0< t_i< T.

Cross Rates

A cross rate is the currency exchange rate between two currencies, both of which are not the official currencies of the country in which the exchange rate quote is given in. This phrase is also sometimes used to refer to currency quotes which do not involve the U.S. dollar, regardless of which country the quote is provided in. For example, if an exchange rate between the euro and the Japanese yen was quoted in an American newspaper, this would be considered a cross rate in this context, because neither the euro or the yen is the standard currency of the U.S. However, if the exchange rate between the euro and the U.S. dollar were quoted in that same newspaper, it would not be considered a cross rate because the quote involves the U.S. official currency.

21.5: Managing Exchange Risk

21.5.1: Types of Exchange Exposure: Short-Run, Long-Run, and Translation

Foreign currency exposures are categorized as transaction/ short-run exposure, economic/ long-run exposure, and translation exposure.

Learning Objective

Explain the differences between short-run, long-run and translation exposure

Key Points

• A firm has transaction exposure/ short-term exposure whenever it has contractual cash flows (receivables and payables) whose values are subject to unanticipated changes in exchange rates due to a contract being denominated in a foreign currency.
• A firm has economic exposure/ long-term exposure to the degree that its market value is influenced by unexpected exchange rate fluctuations. Such exchange rate adjustments can severely affect the firm’s position with regards to its competitors, the firm’s future cash flows, and the firm’s value.
• A firm’s translation exposure is the extent to which its financial reporting is affected by exchange rate movements.

Key Terms

exchange rate

the amount of one currency that a person or institution defines as equivalent to another when either buying or selling it at any particular moment

foreign currency exposures

Foreign currency exposure is a financial risk posed by an exposure to unanticipated changes in the exchange rate between two currencies. Investors and multinational businesses exporting or importing goods and services or making foreign investments throughout the global economy are exposed to foreign currency risk which can have severe financial consequences if not managed appropriately

foreign bond

an international debt instrument denominated in the home currecy but issued by a foreign company

Exchange Exposure

Foreign currency exposures are generally categorized into the following three distinct types: transaction (short-run) exposure, economic (long-run) exposure, and translation exposure.

Short-Run

A firm has transaction exposure/ short-term exposure whenever it has contractual cash flows (receivables and payables) whose values are subject to unanticipated changes in exchange rates due to a contract being denominated in a foreign currency. To realize the domestic value of its foreign-denominated cash flows, the firm must exchange foreign currency for domestic currency. As firms negotiate contracts with set prices and delivery dates in the face of a volatile foreign exchange market with exchange rates constantly fluctuating, the firms face a risk of changes in the exchange rate between the foreign and domestic currency.

Foreign currency exposure

DAX appreciated in the early 2008, presenting a short-run exchange exposure to companies paying DAX to its suppliers.

Long-Run

A firm has economic exposure / long-term exposure to the degree that its market value is influenced by unexpected exchange rate fluctuations. Such exchange rate adjustments can severely affect the firm’s position with regards to its competitors, the firm’s future cash flows, and ultimately the firm’s value. Economic exposure can affect the present value of future cash flows. Any transaction that exposes the firm to foreign exchange risk also exposes the firm economically, but economic exposure can be caused by other business activities and investments which may not be mere international transactions, such as future cash flows from fixed assets. A shift in exchange rates that influences the demand for a good in some country would also be an economic exposure for a firm that sells that good.

Translation

A firm’s translation exposure is the extent to which its financial reporting is affected by exchange rate movements. As all firms generally must prepare consolidated financial statements for reporting purposes, the consolidation process for multinationals entails translating foreign assets and liabilities or the financial statements of foreign subsidiaries from foreign to domestic currency. While translation exposure may not affect a firm’s cash flows, it could have a significant impact on a firm’s reported earnings and therefore its stock price. Translation exposure is distinguished from transaction risk as a result of income and losses from various types of risk having different accounting treatments. Translation gives special consideration to assets and liabilities with regards to foreign exchange risk, whereas exposures to revenues and expenses can often be managed ex ante by managing transactional exposures when cash flows take place.

21.5.2: Types of Exchange Hedges: Forward, Money Market, and Future

Forwards, money market instruments, and futures are common instruments used to manage exchange risk.

Learning Objective

Describe the different strategies for managing exchange risk

Key Points

• In case of exchanges, if the company is going to receive a large sum of foreign currency from customers it bears the risk that the currency will depreciate and the company will go short in a currency forward contract. If the company is going to pay its suppliers, it instead will go long.
• Foreign exchange swaps are a common type of money market instrument, involving the exchange of a set of currencies in spot date and the reversal of the exchange at a predetermined time in the future. Their commonest use is for institutions to fund their foreign exchange balances.
• Futures are very similar to forwards, except they are exchange-traded, or defined on standardized assets. Futures also typically have interim partial settlements, or “true-ups,” in margin requirements.

Key Terms

underlying assets

In finance, the underlying of a derivative is an asset, basket of assets, index, or even another derivative, such that the cash flows of the (former) derivative depend on the value of this underlying.

margin

Collateral that the holder of a financial instrument has to deposit to cover some or all of the credit risk of their counterparty.

spot exchange rate

the agreed upon price of buying one currency in terms of another now

forward exchange rate

the agreed upon price to exchange one currency for another at a future date

Managing Exchange Risk

Forward

In finance, a forward contract, or simply a forward, is a non-standardized contract between two parties to buy or sell an asset at a specified future time at a price agreed upon today. The party agreeing to buy the underlying assets in the future assumes a long position, and the party agreeing to sell the asset in the future assumes a short position. The price agreed upon is called the delivery price, which is equal to the forward price at the time the contract is entered into. In the case of exchanges, when entering a forward contract the buyer hopes or expects that a currency is going to appreciate, while the seller hopes or expects that it will depreciate in near future. If the company is going to receive a large sum of foreign currency from customers as payment, it bears the risk that the currency will depreciate and the company will go “short” in a currency forward contract. If the company is going to pay its suppliers with foreign currency, it will instead go “long. “

Foreign exchange rates

The exchange rate of GBP/ USD decreased from 1985 to 1987. One should go long GBP and short USD.

Money Market

As money became a commodity, the money market became a component of the financial markets for assets involved in short-term borrowing, lending, buying, and selling, with original maturities of one year or less. Foreign exchange of currencies are among the more common money market instruments, exchanging a set of currencies in a spot date and the reversal of the exchange of currencies at a predetermined time in the future. The most common use of foreign exchange swaps occurs when institutions fund their foreign exchange balances. A foreign exchange swap consists of two legs: a spot foreign exchange transaction and a forward foreign exchange transaction.These two legs are executed simultaneously for the same quantity, and therefore offset each other. Once a foreign exchange transaction settles, the holder is left with a positive (or long) position in one currency, and a negative (or short) position in another. In order to collect or pay any overnight interest due on these foreign balances, at the end of every day institutions will close out any foreign balances and re-institute them for the following day. To do this they typically use tom-next swaps, buying (or selling) a foreign amount settling tomorrow, and then doing the opposite, selling (or buying) it back and settling the day after.

Futures

In finance, a futures contract (more colloquially, futures) is a standardized contract between two parties to buy or sell a specified asset of standardized quantity and quality for a price agreed upon today (the futures price or strike price) with delivery and payment occurring at a specified future delivery date. In many cases, the underlying asset to a futures contract may not be traditional commodities at all – that is, for financial futures the underlying item can be any financial instrument (including currency, bonds, and stocks). The party agreeing to buy the underlying asset in the future, the buyer of the contract, is said to be long, and the party agreeing to sell the asset in the future, the seller of the contract, is said to be short. The same mechanism functioning in forward contracts applies to futures.

Forward contracts are very similar to futures contracts, except they are not exchange-traded, or defined on standardized assets. Forwards also typically have no interim partial settlements or “true-ups” in margin requirements like futures – such that the parties do not exchange additional property securing the party at gain and the entire unrealized gain or loss builds up while the contract is open.

21.6: International Investment and Finance

21.6.1: Funding the International Business

Funding global processes or organizations is a complex financial process with a variety of options, each with varying rates of risk and return.

Learning Objective

Differentiate between funding options for global organizations, and consider the differences between startups and larger established firms

Key Points

• Often enough, global organizations have significant capital needs. Procuring capital at a lower weighted average cost of capital (WACC) than the expected return is key to success.
• Equity and debt are the primary borrowing devices for most business, including taking out loans, issuing bonds, and releasing company shares for public trade.
• Startups engage in a wide variety of interesting funding initiatives, such as pursuing venture capital, angel investors, and crowd-sourced funding.
• Procuring funding to start an international business is easier now than ever, with the wide variety of speculators (i.e. venture capitalists) and the high volume of crowd-sourcing platforms.

Key Term

Venture Capital (VCs)

A funding option in which groups of speculative investors pursue small, promising entrepreneurial ventures to fund (and thus gain some ownership in).

International businesses often have high capital needs, as global trade can be resource intensive (though it’s worth noting that the digital age has changed this significantly for many industries). Procuring funding in the modern economy can be highly diversified, from borrowing debt from banks to pursuing angel investors to crowd-sourcing funding for a small startup project. 

Determining Risk and Return

Understanding the financial needs of the organization and measuring the overall weighted average cost of capital (WACC) for a venture is important in determining the appropriate level of risk and the expected level of return on that risk. Models such as the discounted cash flow analysis to determine a net present value (NPV) of the project being funded is key to successful financial sourcing.

Organizations looking to procure funding should provide prospective investors with a business plan, complete with an assessment of expected demand, estimated profit, and required rates of return. By balancing the expected profit with the cost of getting funded, potential international operations can ensure that the return on investment will justify the expenses involved in global trade.

Funding Sources

International businesses have the same funding sources as most organizations, for larger organizations this primarily revolves around debt and equity. For small organizations, debt and equity are often accompanied by venture capital and crowd-sourcing (particularly in the startup world).

Larger Organizations

From the perspective of larger organizations, formal analyses of projected cash flows (as discussed above) coupled with traditional forms of funding is the most common approach to international business funding. This includes:

• Loans – Bank loans are a form of debt, often with a relatively low cost of capital. Loans granted over a given lending period and paid back in installments. In the case of bankruptcy, these debts are among the first repaid upon liquidation of assets (hence the lower risk and lower cost of capital).
• Issuing Bonds – Organizations can also issue bonds, which are another form of debt. Bonds debt securities investors can purchase which will mature over time. The rate of return and time to maturation can vary. These are also lower costs of capital as they are paid out before equity in the case of a bankruptcy.
• Equity (shares) – Issuing shares is another funding source, particularly for larger and publicly traded organizations. By issuing equity, organizations can essentially sell small fractions of organizational ownership as an asset for investors, who are betting on the success of the organization. These are riskier, most costly and less reliable sources of income compared to debt.

Startups

While smaller organizations have access to debt as well, they generally have less collateral available and therefore very little financial leverage. In these situations, procuring funding for a global venture is exceptionally difficult. The startup world is full of interesting options to procure capital, including:

• Venture Capital (VCs) – A popular term in the Silicon Valley and other technology hubs, VCs accumulate capital from a number of speculative investors and seek strong business opportunities still in the startup phase. Winning capital from a VC can be quite lucrative, as the amount of capital invested can be high (high enough to justify international operations). VCs would generally be represented by a board who would assess the viability of the business as an investment, and determine terms (ownership by investors) and returns.
• Angel Investors – Angel investors are similar to VCs, but can actually be quite varied in format and motivations. Angel investors are more often individuals with capital to spare who have taken an interest in a particular business or product. They may act as advisers or objective investors, they may simply love the product, or they may have investment incentives (most commonly both).
• Crowd-sourcing – Websites like Kickstarter and Indiegogo are unique and modern formats, where potential business ideas can garner capital and support prior to producing a given product or service. This interesting model allows a high number of people to invest a small amount of capital, which cumulatively may be enough to ‘kickstart’ a venture (international or otherwise). Reimbursement in the form of credits, t-shirts, early access to the product, and other incentives are often used to motivated small investments.

The world of business investing is changing and evolving, and reliance on big banks is decreasing for smaller, entrepreneurial ventures. With the barriers to globalization constantly lowered, the capacity to take a relatively small amount of seed capital and offer services digitally across the world is more feasible than ever. Understanding options like crowd-sourcing can substantially lower the risk of borrowing, and enable small organizations to grow. 

Startup Financing Cycle

This is an excellent illustration of how funding sources and strategic alliances evolve over time, beginning from the startup stage.

This is an excellent illustration of how funding sources and strategic alliances evolve over time, beginning from the startup stage.

20.1: Reasons for Business Combinations

20.1.1: Reasons for Combining Businesses

Learning Objective

Describe the reasons two businesses might combine

Key Points

• The dominant rationale used to explain merging activity is that acquiring firms seek improved financial performance.
• If used in a business application, synergy means that teamwork will produce an overall better result than if each person within the group was working toward the same goal individually.
• Positioning involves combining two companies in order to exploit future opportunities.
• Gap filling is a reason for merging, referring to the fact that the strength of one company may be the weakness of the other, and vice versa.

Key Terms

Synergy

Benefits resulting from combining two different groups, people, objects, or processes.

statutory merger

A type of merger whereby one of the companies remains a legal entity, rather than a part of an entirely new legal entity.

Reasons For Business Combinations

Business combinations are referred to as mergers. A merger happens when two firms agree to go forward as a single new company, rather than remain separately owned and operated. This kind of action is more precisely referred to as a “merger of equals. ” The firms are often approximately the same size. Both companies’ stocks are surrendered and new company stock is issued in its place. In practice, however, actual mergers of equals don’t happen very often. Usually, one company will buy another and, as part of the deal’s terms, simply allow the acquired firm to proclaim that the action is a merger of equals, even if it is technically an acquisition. A merger can also be achieved independently of the corporate mechanics through various means – such as triangular merger, statutory merger, etc.

Every merger has specific reasons why the combining of the two companies is a good business decision. The underlying principle is simple: 2 + 2 = 5. In other words, the combination of two companies will be worth more than the sum of its parts. The dominant rationale used to explain merging activity is that acquiring firms seek improved financial performance. The following factors are considered to improve financial performance:

• Synergy: Synergy is two or more things functioning together to produce a result not independently obtainable. If used in a business application, synergy means that teamwork will produce an overall better result than if each person within the group was working toward the same goal individually. Synergy can take the form of higher revenues, lower expenses, or a lower overall cost of capital.
• Economy of scale: The combined company can often reduce its fixed costs by removing duplicate departments or operations, or lowering the costs of the company relative to the same revenue stream, thus increasing profit margins.
• Economy of scope: This refers to the efficiencies primarily associated with demand-side changes, such as increasing or decreasing the scope of marketing and distribution, of different types of products.
• Increased revenue or market share: This assumes that the buyer will be absorbing a major competitor and thus increase its market power (by capturing increased market share) to set prices.
• Cross-selling: For example, a bank buying a stock broker could then sell its banking products to the stock broker’s customers, while the broker can sign up the bank’s customers for brokerage accounts.
• Taxation: A profitable company can buy a loss maker to use the target’s loss to their advantage by reducing their tax liability. In the United States and many other countries, rules are in place to limit the ability of profitable companies to “shop” for loss-making companies, limiting the tax motive of an acquiring company.
• Geographical or other diversification: This is designed to smooth the earnings results of a company, which over the long term balances out the stock price of a company, giving conservative investors more confidence in investing in the company.
• Hiring: Some companies use acquisitions as an alternative to the normal hiring process. This is especially common when the target is a small private company or is in the start-up phase. In this case, the acquiring company simply hires the staff of the target private company, thereby acquiring its talent (if that is its main asset and appeal).
• Diversification: A merger may hedge a company against a downturn in an industry by providing the opportunity to make up profits in the industry of the target company.

Additional motives for a merger that may not add shareholder value include:

• Manager’s hubris: A manager’s overconfidence about expected synergies from a merger may result in overpayment for the target company.
• Empire-building: Managers have larger companies to manage and hence more power.
• Manager’s compensation: In the past, the pay of certain executive management teams was based on the total profit of the company, instead of the profit per share. This would give management the incentive to buy companies to increase the total profit while decreasing the profit per share (which hurts the owners of the company, the shareholders).
• Positioning: This involves combining two companies in order to exploit future opportunities.
• Gap filling: The strength of one company may be the weakness of the other, and vice versa.

20.2: Types of Transactions

20.2.1: Types of Transactions

Transactions can be mergers or acquisitions, made with cash or stock, and they can be friendly or hostile.

Learning Objective

Choose the best strategy and method for completing a merger or acquisition

Key Points

• A cash deal is one whereby the acquirer buys the target’s outstanding equity (or assets) with cash. The acquirer may raise cash through a debt or equity offering or internally finance the deal using the firm’s cash on hand.
• A stock deal is one whereby the acquirer offers its own shares for the shares of the target. Usually this involves the acquirer floating new shares or using internally held treasury shares.
• The ongoing status of the target’s owners dictates whether the transaction is a merger (retained) or acquisition (replaced).
• Whether a purchase is perceived as being a “friendly” one or a “hostile” depends significantly on how the proposed acquisition is communicated to and perceived by the target company’s board of directors, employees, and shareholders.

Key Terms

shares in treasury

Stock that is bought back by the issuing company, reducing the amount of outstanding stock on the open market.

liquidation

The selling of the assets of a business as part of the process of dissolving the business.

Basic Strategies of M&A:

1. The buyer buys the shares, and therefore the control, of the target company. Ownership control of the company in turn conveys effective control over the assets of the company. However, since the company is acquired intact as a going concern, this form of transaction carries with it all of the liabilities accrued by that business over its past and all of the risks that company faces in its commercial environment.
2. The buyer buys the assets of the target company. The cash the target receives from the sell-off is netted against outstanding liabilities and returned to equity holders (owners). This type of transaction leaves the target company as an empty shell, if the buyer buys out the entirety of the target’s assets (a liquidation). A buyer often structures the transaction in order to “cherry-pick” the assets that it wants and leaves out the assets and liabilities that it does not. A disadvantage of this structure is the tax that many jurisdictions – particularly outside the United States – impose on transfers of individual assets, whereas stock transactions can frequently be structured as like-kind exchanges or other arrangements that are tax-free or tax-neutral.

Basic Methods of Financing M&A:

Cash

Such transactions are usually termed acquisitions rather than mergers because the shareholders of the target company are removed from the picture and the target comes under the (indirect) control of the bidder’s shareholders. If the buyer pays cash, there are two main financing options:

1. Cash on hand: The buyer consumes financial slack (excess cash or unused debt capacity) and may decrease its debt rating. There are no major transaction costs.
2. Issue of stock: The buyer increases financial slack, which may improve its debt rating and reduce the cost of debt (although not WACC as cost of equity will increase). Transaction costs include fees for preparation of a proxy statement, an extraordinary shareholder meeting, and registration.

Stock

Payment is made in the form of the acquiring company’s stock, issued to the shareholders of the acquired company at a given ratio proportional to the valuation of the acquired company’s stock. If the buyer pays with stock, the financing possibilities are:

1. Issue of stock (same effects and transaction costs as described above).
2. Shares in treasury: The buyer increases financial slack (if they don’t have to be repurchased on the market), which may improve its debt rating and reduce the cost of debt (although not WACC as cost of equity will increase). Transaction costs include brokerage fees if shares are repurchased in the market; otherwise, there are no major costs.

There are some elements to think about when choosing the form of payment. When submitting an offer, the acquiring firm should consider other potential bidders and think strategically. The form of payment might be decisive for the seller. With pure cash deals, there is no doubt on the real value of the bid. Therefore, a cash offer preempts competitors better than securities. Taxes are a second element to consider and should be evaluated with the counsel of competent tax and accounting advisers. Third, with a share deal the buyer’s capital structure might be affected and the control of the buyer modified. If the issuance of shares is necessary, shareholders of the acquiring company might prevent such capital increase at the general meeting of shareholders. This risk is removed with a cash transaction.

In the aftermath of a merger, there will be accounting issues to consider. The balance sheet of the buyer will be modified, and thus the decision maker should take into account the effects on the reported financial results. For example, in a pure cash deal (financed from the company’s current account), liquidity ratios might decrease. On the other hand, in a pure stock for stock transaction (financed from the issuance of new shares), the company might show lower profitability ratios (e.g. ROA). However, economic dilution must prevail towards accounting dilution in the decision making process.

Hostile vs. Friendly:

Whether a purchase is perceived as being a “friendly” one or a “hostile” depends significantly on how the proposed acquisition is communicated to and perceived by the target company’s board of directors, employees, and shareholders. It is normal for deal communications to take place in a so-called “confidentiality bubble,” wherein the flow of information is restricted pursuant to confidentiality agreements. In the case of a friendly transaction, the companies cooperate in negotiations. In the case of a hostile deal, the board and/or management of the target is unwilling to be bought or the target’s board has no prior knowledge of the offer. Hostile acquisitions can, and often do, ultimately become “friendly,” as the acquirer secures endorsement of the transaction from the board of the acquiree company. This usually requires an improvement in the terms of the offer through negotiation .

Airline M&A

The aviation industry has seen increased consolidation through M&A activity in the last 20 years. Pictured is a plane belonging to United Airlines, one of the world’s largest carriers, fresh off a 2010 merger with Continental Airlines.

20.3: Preparing for a Merger

20.3.1: Valuing the Target and Setting the Price

To prepare an appropriate bid for a target company, the buyer has to accurately value the target company through the due diligence process.

Learning Objective

Value a target company prior to a merger

Key Points

• Due diligence can be defined as the examination of a potential target for merger, acquisition, privatization, or a similar corporate finance transaction –normally by a buyer.
• In order to reduce the number of failed mergers and acquisitions, it is essential that the concepts of valuations (shareholder value analysis) be linked into a due diligence process.
• As synergy plays a large role in the valuation of acquisitions, it is paramount to get the value of synergies right.

Key Terms

discounted cash flow

In finance, discounted cash flow (DCF) analysis is a method of valuing a project, company, or asset using the concepts of the time value of money. All future cash flows are estimated and discounted to give their present values (PVs)–the sum of all future cash flows, both incoming and outgoing, is the net present value (NPV), which is taken as the value or price of the cash flows in question.

intellectual property

Any product of someone’s intellect that has commercial value: copyrights, patents, trademarks, and trade secrets.

Synergy

Benefits resulting from combining two different groups, people, objects, or processes.

Valuation of the Target Company

In order to prepare an appropriate bid in the mergers and acquisition process, the buyer must be able to accurately value the target company. This valuation process is referred to as due diligence. Due diligence can be defined as the examination of a potential target for merger, acquisition, privatization, or a similar corporate finance transaction– normally by a buyer. Due diligence involves a reasonable investigation focusing on material future matters and the asking of certain key questions, including how do we buy, how do we structure the acquisition, and how much do we pay? Moreover, due diligence is an investigation on the current practices of process and policies and an examination aiming to make an acquisition decision via the principles of valuation and shareholder value analysis. The due diligence process framework can be divided into nine distinct areas:

1. Compatibility audit: This deals with the strategic components of the transaction and, in particular, the need to add shareholder value.
2. Financial audit.
3. Macro-environment audit.
4. Legal/environmental audit.
5. Marketing audit.
6. Production audit.
7. Management audit.
8. Information systems audit.
9. Reconciliation audit: This links/consolidates other audit areas together via a formal valuation in order to test whether shareholder value will be added.

In business transactions, the due diligence process varies for different types of companies. Areas of concern other than the ones listed above include intellectual property, real and personal property, insurance and liability coverage, debt instrument review, employee benefits and labor matters, immigration, and international transactions.

WIPO Headquarters in Geneva

Intellectual property is an asset of a business that must be included in the overall business evaluation. This photo is of the headquarters of the World Intellectual Property Organization in Geneva, Switzerland.

It is essential that the concepts of valuations (shareholder value analysis) be linked into a due diligence process. This is in order to reduce the number of failed mergers and acquisitions. The five most common methods of valuation are:

1. Asset valuation
2. Historical earnings valuation
3. Future maintainable earnings valuation
4. Relative valuation (or comparable transactions)
5. Discounted cash flow valuation

Professionals who value businesses generally do not use just one of these methods, but a combination of them, in order to obtain a more accurate value. As synergy plays a large role in the valuation of acquisitions, it is paramount to get the value of synergies right. Synergies are different from the “sales price” valuation of the firm, as they will accrue to the buyer. Hence, the analysis should be done from the acquiring firm’s point of view. Synergy creating investments are started by the choice of the acquirer and, therefore, they are not obligatory, making them real options in essence.

20.4: The Role of Investment Bankers in M&A

20.4.1: Overview of Investment Banking Functions in M&A

Many companies looking to expand, or streamline, their business will use investment banks for advice on potential targets and/or buyers.

Learning Objective

Describe the role investment banking plays in the M&A process

Key Points

• The Investment bank’s role in mergers and acquisitions falls into one of either two buckets: seller representation or buyer representation (also called target representation and acquirer representation).
• One of the main roles of investment banking in mergers and acquisitions is to establish fair value for the companies involved in the transaction.
• Banks will also source deals by studying the market themselves and approaching companies with their own strategic ideas.
• One of the main roles investment banks play is to introduce new securities to market in order to finance M&A activity.

Key Term

market maker

A person or company who undertakes to quote at all times both a buy and a sell price for a financial instrument.

Role of Investment Banking In M&A

With increasing competitive pressures being placed on businesses and the trend towards globalization, companies are engaging more and more in M&A activity. Many companies looking to expand or streamline their business will use investment banks for advice on potential targets and/or buyers. This normally will include a full valuation and recommended tactics. The investment bank’s role in mergers and acquisitions falls into one of either two buckets: seller representation or buyer representation (also called “target representation” and “acquirer representation”).

Investment Banking

Investment banks, such as Barclays (the headquarters for which is pictured here), play a vital role in the mergers and acquisitions process.

Valuation

One of the main roles of investment banking in mergers and acquisitions is to establish fair value for the companies involved in the transaction. Investment banks are experts at calculating what a business is worth. They are also able to predict how that worth could be altered (i.e., what happens to the value of a company in a number of different scenarios and what those potential futures would mean financially). Financial models are constructed by investment banks to capture the most important fixed and variable financial components that could influence the overall value of a company. These models, depending upon the proposed transaction, can be extremely complex with special variables being added for special areas (i.e., there are different financial factors to consider in different sectors, countries, and markets when predicting or measuring a company’s value).

Because of their expertise in business valuation, investment banks can also provide the service of arbitrage opportunities for their clients. For instance, if a bank has performed valuation on a potential target company that suggests its market value (or the value of its shares in the marketplace) is less than what the business is actually worth, it may facilitate a merger or acquisition of this target company for its client that carries with it substantial profit opportunity.

Buyers Versus Sellers

Investment banks do not just rely on buyers and sellers approaching them. They will also source deals by studying the market themselves and approaching companies with their own strategic ideas (i.e., they might suggest that two companies merge, or that one company acquires, or sells to, another). An investment bank that represents a potential seller has a much greater likelihood of completing a transaction (and therefore being paid) than an investment bank that represents a potential acquirer. This seller representation, also known as “sell-side work,” is the type of advisory assignment that is generated by a company when it approaches an investment bank and asks it to find a buyer of either the entire company or part of its assets. Generally speaking, the work involved in finding a buyer includes writing a “Selling Memorandum” (a detailed sales document) and then contacting potential strategic or financial buyers.

In advising sellers, the investment bank’s work is complete once another party purchases the business up for sale (i.e., once another party buys the client’s company or assets). However, representing a buyer is not always as straight forward. The advisory work itself is simple enough: The investment bank contacts the firm their client wishes to purchase, attempts to structure an acceptable offer for all parties, and make the deal a reality. However, many of these proposals do not work out; few firms or owners are willing to readily sell their business. Because investment banks primarily collect fees based on completed transactions, they are often forced to defend their proposals.

Provision of Financing

Of course, buying a company will require the funds to do so. Options available to a company wishing to raise funds include selling shares in itself or raising debt financing. Investment banks can, yet again, play a role in making this happen. In fact, one of the main roles investment banks play is to introduce new securities to market. Not only can an investment bank determine the best price for new issues–be they equity or debt–by valuing the company and examining the market, but they can also find buyers for those new issues. Therefore, they are referred to as market makers, since they perform the functions of both a buyer and seller.

20.5: Additional Topics in M&A

20.5.1: Other Topics in M&A

M&A also includes the areas of value creation, corporate alliances, private equity, and divestitures.

Learning Objective

Explain why a company may want to divest itself of an acquisition

Key Points

• Despite the goal of value creation and synergy, results from mergers and acquisitions are often disappointing compared with results predicted or expected.
• A form of corporate cooperation lying between a merger or acquisition and internal growth is called a corporate alliance or strategic alliance.
• From an M&A point of view, a private placement is similar to a merger because it usually involves an institution (rather than numerous public investors) acquiring a stake (assets) in a company.
• A divestiture is the reduction of some kind of asset for either financial or ethical objectives, or the sale of an existing business by a firm.

Key Terms

distribution channel

The institutional arrangement by which goods or services are conveyed from producer to user.

empirical

Pertaining to, derived from, or testable by observations made using the physical senses or using instruments which extend the senses.

Synergy

Benefits resulting from combining two different groups, people, objects, or processes.

M&A Value Creation

Despite the goal of value creation and synergy, results from mergers and acquisitions are often disappointing compared with results that are predicted or expected. Numerous empirical studies show high failure rates of M&A deals. Some reasons for failed mergers include lack of strategic fit, difference in corporate culture, lack of due diligence, poor integration, over-optimism, and failed valuation leading to too high of a purchase price. Employee turnover also contributes to M&A failures. The turnover in target companies has been found to be double the turnover experienced in non-merged firms for the 10 years following the merger. However, higher success rates have been experienced recently, due to firms gaining more and more experience with the M&A process.

Corporate Alliances

A form of corporate cooperation lying between a merger or acquisition and internal growth is called a corporate alliance, or strategic alliance. This is a relationship between two or more parties to pursue a set of agreed upon goals or to meet a critical business need while remaining independent organizations. Partners may provide the strategic alliance with resources such as products, distribution channels, manufacturing capability, project funding, capital equipment, knowledge, expertise, or intellectual property. The alliance is a cooperation or collaboration which aims for a synergy where each partner hopes that the benefits from the alliance will be greater than those from individual efforts. The alliance often involves technology transfer (access to knowledge and expertise), economic specialization, shared expenses, and shared risk.

Private Equity and M&A

When raising funds for a merger or acquisition, firms may not seek funds from public offerings – either out of necessity or by choice. The company may not be big enough; the markets may not have an appetite for their issues; or the company may simply prefer not to have its stock be publicly traded. In such a case, a firm may choose to raise funds through private placements. The process of raising private equity, or debt, changes only slightly from a public deal. Often, one firm will be the sole investor in a private placement. In other words, if a company sells stock through a private placement, usually only one firm or a small number of firms will buy the stock offered. From an M&A point of view, a private placement is thus similar to a merger because it usually involves an institution (rather than numerous public investors) acquiring a stake (assets) in a company.

Private Equity

Private equity firms, such as NBGI, provide funds for companies unable or uninterested in obtaining funds publicly.

Divestitures

A divestiture is the reduction of some kind of asset for either financial or ethical objectives, or the sale of an existing business by a firm. Firms may have several motives for divestitures:

1. A firm may divest (sell) businesses that are not part of its core operations so that it can focus on what it does best.
2. To obtain funds. Divestitures generate funds for the firm because it is selling one of its businesses in exchange for cash.
3. A firm’s “break-up” value is sometimes believed to be greater than the value of the firm as a whole. In other words, the sum of a firm’s individual asset liquidation values exceeds the market value of the firm’s combined assets.
4. To create stability.
5. A division is under-performing or even failing.
6. A divestiture could be forced on to the firm by the regulatory authorities – for example, in order to create competition.

Often the term is used as a means to grow financially in which a company sells off a business unit in order to focus their resources on a market it judges to be more profitable or promising. Divestment of certain parts of a company can occur when required by the Federal Trade Commission before a merger with another firm is approved. The largest, and likely most famous, corporate divestiture in history was the 1984 U.S. Department of Justice-mandated breakup of the Bell System into AT&T and the seven Baby Bells.

19.1: Short-Term Financing

19.1.1: Short-Term Loans

Learning Objective

Classify different types of short term loans

Key Points

• Longer term funding is supplied by bonds and equity.
• Convenience is main benefit of a credit card to a business or entrepreneur .
• Venture capitalists use bridge loans to “bridge” cash flow gaps between successive major private equity financing terms.

Key Terms

London Interbank Offered Rate

the average interest rate estimated by leading financial instiutions in London that they would be charged if borrowing from others

collateral

A security or guarantee (usually an asset) pledged for the repayment of a loan if one cannot procure enough funds to repay. (Originally supplied as “accompanying” security. )

benchmark

A standard by which something is evaluated or measured.

venture capital

money invested in an innovative enterprise in which both the potential for profit and the risk of loss are considerable.

Example

• In December 2010, Kohlberg Kravis Roberts (KKR) and partners marketed a bridge loan for its upcoming acquisition of Del Monte Foods. As is common in such cases, KKR planned for the newly private company to borrow money by issuing corporate bonds. To ensure the money would be available, KKR sought $1.6 billion in bridge loan guarantees, for which it promised to pay 8.75 percent interest for 60 days and 11.75 percent thereafter. At KKR’s option, these loans could then be replaced with eight-year corporate bonds (in effect, a put option) paying 11.75 percent. In return for the loans and guarantees, KKR was offering roughly 2 percent in fees.

Short Term Loans

Short term loans are borrowed funds used to meet obligations within a few days up to a year. The borrower receives cash from the lender more quickly than with medium- and long-term loans, and must repay it in a shorter time frame.

Examples of short-term loans include:

Overdraft

Overdraft protection is a financial service offered by banking institutions in the United States. An overdraft occurs when money is withdrawn from a bank account and the available balance goes below zero. In this situation, the account is said to be “overdrawn. ” If there is a prior agreement with the account provider for an overdraft, and the amount overdrawn is within the authorized overdraft limit, then interest is normally charged at the agreed rate.

Credit Card

A credit card is a payment card issued to users as a method of payment. It allows the cardholder to pay for goods and services based on the holder’s promise to pay for them. The issuer of the card creates a revolving account and grants a line of credit to the consumer (or the user) from which the user can borrow money for payment to a merchant or as a cash advance to the user. For smaller businesses, financing via credit card is an easy and viable option.

The main benefit to a business or entrepreneur is convenience. Compared to debit cards and checks, a credit card allows small short-term loans to be quickly made to a customer. The customer then need not calculate a balance remaining before every transaction, provided the total charges do not exceed the maximum credit line for the card.

Payday Loans

A payday loan (also called a payday advance) is a small, short-term unsecured loan. These loans are also sometimes referred to as “cash advances,” though that term can also refer to cash provided against a credit card or other prearranged line of credit. The basic loan process involves a lender providing a short-term unsecured loan to be repaid at the borrower’s next pay day. Typically, some verification of employment or income is involved (via pay stubs and bank statements), but some lenders may omit this.

Money Market

The money market developed because parties had surplus funds, while others needed cash. The core of the money market consists of inter bank lending (banks borrowing and lending to each other using commercial paper), repurchase agreements, and similar short-term financial instruments. Because money market securities are typically denominated in high values, it is not common for individual investors to wholly own shares of money market securities; instead, investments are carried out by corporations or money market mutual funds. These instruments are often benchmarked to the London Interbank Offered Rate (LIBOR) for the appropriate term and currency. 

Refund Anticipation Loan (RAL)

A refund anticipation loan (RAL) is a short-term consumer loan secured by a taxpayer’s expected tax refund designed to offer customers quicker access to funds than waiting for their tax refund. In the United States, taxpayers can apply for a refund anticipation loan through a paid professional tax preparation service.

Bridge Loans

A bridge loan is a type of short-term loan, typically taken out for a period of two weeks to three years pending the arrangement of larger or longer-term financing. It is interim financing for an individual or business until permanent or next-stage financing can be obtained. Money from the new financing is generally used to “take out” (i.e. to pay back) the bridge loan, as well as other capitalization needs.

Bridge loans are typically more expensive than conventional financing to compensate for the additional risk of the loan. Bridge loans typically have a higher interest rate, points and other costs that are amortized over a shorter period, as well as various fees and other “sweeteners” like equity participation by the lender. The lender also may require cross-collateralization and a lower loan-to-value ratio. On the other hand, they are typically arranged quickly with little documentation.

Bridge loans are used in venture capital and other corporate finance for several purposes:

1. To inject small amounts of cash to carry a company so that it does not run out of cash between successive major private equity financing.
2. To carry distressed companies while searching for an acquirer or larger investor (in which case the lender often obtains a substantial equity position in connection with the loan).
3. As a final debt financing to carry the company through the immediate period before an initial public offering or acquisition.

Payday Loan store

Payday loan stores offer short term loans

19.1.2: Credit Cards

Learning Objective

Evaluate the costs and benefits of a credit card

Key Points

• The issuer of the card creates a revolving account and grants a line of credit to the consumer (or the user) from which the user can borrow money for payment to a merchant or as a cash advance to the user.
• The main benefit to each customer is convenience. Credit cards allow small short-term loans to be quickly made to a customer who need not calculate a balance remaining before every transaction, provided the total charges do not exceed the maximum credit line for the card.
• Costs to users include high interest rates and complex fee structures.

Key Term

credit card

A plastic card with a magnetic strip or an embedded microchip connected to a credit account and used to buy goods or services. It’s like a debit card, but money comes not from your personal bank account, but the bank lends money for the purchase based on the credit limit. Credit limit is determined by the income and credit history. Bank charge APR (annual percentage rate) for using of money.

Example

• For example, if a user has a $1,000 transaction and repaid it in full within this grace period, there would be no interest charged. If, however, even $1 of the total amount remained unpaid, interest would be charged on the $1,000 from the date of purchase until the payment is received.

Credit Cards

A credit card is a payment card issued to users as a system of payment. It allows the cardholder to pay for goods and services based on the promise to pay for them later and the immediate provision of cash by the card provider. The issuer of the card creates a revolving account and grants a line of credit to the consumer (or the user) from which the user can borrow money for payment to a merchant or as a cash advance to the user. Credit cards allow the consumers a continuing balance of debt, subject to interest being charged. A credit card also differs from a cash card, which can be used like currency by the owner of the card .

Credit card

A credit card is a payment card issued to users as a system of payment.

Credit cards are issued by an issuer like a bank or credit union after an account has been approved by the credit provider, after which cardholders can use it to make purchases at merchants accepting that card.

Benefits to Users

The main benefit to each customer is convenience. Compared to debit cards and checks, a credit card allows small short-term loans to be quickly made to a customer who need not calculate a balance remaining before every transaction, provided the total charges do not exceed the maximum credit line for the card.

Many credit cards offer rewards and benefits packages like enhanced product warranties at no cost, free loss/damage coverage on new purchases and various insurance protections. Credit cards can also offer reward points which may be redeemed for cash, products or airline tickets.

Costs to Users

High interest rates: Low introductory credit card rates are limited to a fixed term, usually between six and 12 months, after which a higher rate is charged. As all credit cards charge fees and interest, some customers become so indebted to their credit card provider that they are driven to bankruptcy. Some credit cards often levy a rate of 20 to 30 percent after a payment is missed. In other cases a fixed charge is levied without change to the interest rate. In some cases universal default may apply – the high default rate is applied to a card in good standing by missing a payment on an unrelated account from the same provider. This can lead to a snowball effect in which the consumer is drowned by unexpectedly high interest rates.

Complex fee structures in the credit card industry limit customers’ ability to comparison shop, help ensure that the industry is not price-competitive and help maximize industry profits.

Benefits to Merchants

For merchants, a credit card transaction is often more secure than other forms of payment, because the issuing bank commits to pay the merchant the moment the transaction is authorized regardless of whether the consumer defaults on the credit card payment. In most cases, cards are even more secure than cash, because they discourage theft by the merchant’s employees and reduce the amount of cash on the premises. Finally, credit cards reduce the back office expense of processing checks/cash and transporting them to the bank.

Costs to Merchants

Merchants are charged several fees for accepting credit cards. The merchant is usually charged a commission of around one to three percent of the value of each transaction paid for by credit card. The merchant may also pay a variable charge, called an interchange rate, for each transaction. In some instances of very low-value transactions, use of credit cards will significantly reduce the profit margin or cause the merchant to lose money on the transaction. Merchants with very low average transaction prices or very high average transaction prices are more averse to accepting credit cards. Merchants may charge users a “credit card supplement,” either a fixed amount or a percentage, for payment by credit card. This practice is prohibited by the credit card contracts in the United States, although the contracts allow the merchants to give discounts for cash payment.

Merchants are also required to lease processing terminals, meaning merchants with low sales volumes may have to commit to long lease terms. For some terminals, merchants may need to subscribe to a separate telephone line. Merchants must also satisfy data security compliance standards which are highly technical and complicated. In many cases, there is a delay of several days before funds are deposited into a merchant’s bank account. As credit card fee structures are very complicated, smaller merchants are at a disadvantage to analyze and predict fees. Finally, merchants assume the risk of chargebacks by consumers.

19.1.3: Factoring Accounts Receivable

Learning Objective

Explain the business of factoring and assess the risks of the involved parties

Key Points

• Debt factoring is also used as a financial instrument to provide better cash flow control especially if a company currently has a lot of accounts receivables with different credit terms to manage.
• The three parties directly involved in factoring are: the one who sells the receivable, the debtor (the account debtor, or customer of the seller), and the factor.
• There are two principal methods of factoring: recourse and non-recourse. Under recourse factoring, the client is not protected against the risk of bad debts. Under non-recourse factoring, the factor assumes the entire credit risk.

Key Term

factoring

A financial transaction whereby a business sells its accounts receivable to a third party (called a factor) at a discount.

Factoring

Factoring is a financial transaction whereby a business sells its accounts receivable to a third party (called a “factor”) at a discount. Factoring makes it possible for a business to convert a readily substantial portion of its accounts receivable into cash. This provides the funds needed to pay suppliers and improves cash flow by accelerating the receipt of funds.

Money

Factoring makes it possible for a business to readily convert a substantial portion of its accounts receivable into cash.

Companies factor accounts when the available cash balance held by the firm is insufficient to meet current obligations and accommodate its other cash needs, such as new orders or contracts. In other industries, however, such as textiles or apparel, for example, financially sound companies factor their accounts simply because this is the historic method of finance. The use of factoring to obtain the cash needed to accommodate a firm’s immediate cash needs will allow the firm to maintain a smaller ongoing cash balance. By reducing the size of its cash balances, more money is made available for investment in the firm’s growth. Debt factoring is also used as a financial instrument to provide better cash flow control, especially if a company currently has a lot of accounts receivables with different credit terms to manage. A company sells its invoices at a discount to their face value when it calculates that it will be better off using the proceeds to bolster its own growth than it would be by effectively functioning as its “customer’s bank. “

Types of Factoring

There are two principal methods of factoring: recourse and non-recourse. Under recourse factoring, the client is not protected against the risk of bad debts. On the other hand, the factor assumes the entire credit risk under non-recourse factoring (i.e., the full amount of invoice is paid to the client in the event of the debt becoming bad). Other variations include partial non-recourse, where the factor’s assumption of credit risk is limited by time, and partial recourse, where the factor and its client (the seller of the accounts) share credit risk. Factors never assume “quality” risk, and even a non-recourse factor can charge back a purchased account which does not collect for reasons other than credit risk assumed by the factor, (e.g., the account debtor disputes the quality or quantity of the goods or services delivered by the factor’s client).

In “advance” factoring, the factor provides financing to the seller of the accounts in the form of a cash “advance,” often 70-85% of the purchase price of the accounts, with the balance of the purchase price being paid, net of the factor’s discount fee (commission) and other charges, upon collection. In “maturity” factoring, the factor makes no advance on the purchased accounts; rather, the purchase price is paid on or about the average maturity date of the accounts being purchased in the batch.

There are three principal parts to “advance” factoring transaction:

• The advance, a percentage of the invoice’s face value that is paid to the seller at the time of sale.
• The reserve, the remainder of the purchase price held until the payment by the account debtor is made.
• The discount fee, the cost associated with the transaction which is deducted from the reserve, along with other expenses, upon collection, before the reserve is disbursed to the factor’s client.

Parties Involved in the Factoring Process

The three parties directly involved are the one who sells the receivable, the debtor (the account debtor, or customer of the seller), and the factor. The receivable is essentially an asset associated with the debtor’s liability to pay money owed to the seller (usually for work performed or goods sold). The seller then sells one or more of its invoices (the receivables) at a discount to the third party, the specialized financial organization (aka the factor), often, in advance factoring, to obtain cash. The sale of the receivables essentially transfers ownership of the receivables to the factor, indicating the factor obtains all of the rights associated with the receivables. Accordingly, the factor obtains the right to receive the payments made by the debtor for the invoice amount and, in non-recourse factoring, must bear the loss if the account debtor does not pay the invoice amount due solely to his or its financial inability to pay.

Risks in Factoring

The most important risks of a factor are:

• Counter party credit risk: risk covered debtors can be re-insured, which limit the risks of a factor. Trade receivables are a fairly low risk asset due to their short duration.
• External fraud by clients: fake invoicing, mis-directed payments, pre-invoicing, unassigned credit notes, etc. A fraud insurance policy and subjecting the client to audit could limit the risks.
• Legal, compliance, and tax risks: a large number and variety of applicable laws and regulations depending on the country.
• Operational: operational risks such as contractual disputes.

19.1.4: Commercial Paper

Learning Objective

Analyze the commercial paper market

Key Points

• There are two methods of issuing paper. The issuer can market the securities directly to a buy and hold investor such as most money market funds. Alternatively, it can sell the paper to a dealer, who then sells the paper in the market.
• Commercial paper is a lower cost alternative to a line of credit with a bank. Once a business becomes established, and builds a high credit rating, it is often cheaper to draw on a commercial paper than on a bank line of credit.
• Asset-Backed Commercial Paper (ABCP) is a form of commercial paper that is collateralized by other financial assets.

Key Term

money market

A market for trading short-term debt instruments, such as treasury bills, commercial paper, bankers’ acceptances, and certificates of deposit.

Commercial Paper

In the global money market, commercial paper is an unsecured promissory note with a fixed maturity of one to 364 days. Commercial paper is a money-market security issued (sold) by large corporations to get money to meet short term debt obligations (for example, payroll), and is only backed by an issuing bank or a corporation’s promise to pay the face amount on the maturity date specified on the note. Since it is not backed by collateral, only firms with excellent credit ratings from a recognized rating agency will be able to sell their commercial paper at a reasonable price. Commercial paper is usually sold at a discount from face value, and carries higher interest repayment rates than bonds. Typically, the longer the maturity on a note, the higher the interest rate the issuing institution must pay. Interest rates fluctuate with market conditions, but are typically lower than banks’ rates.

There are two methods of issuing paper. The issuer can market the securities directly to a buy and hold investor such as most money market funds. Alternatively, it can sell the paper to a dealer, who then sells the paper in the market . The dealer market for commercial paper involves large securities firms and subsidiaries of bank holding companies. Most of these firms are also dealers in US Treasury securities. Direct issuers of commercial paper are usually financial companies that have frequent and sizable borrowing needs, and find it more economical to sell paper without the use of an intermediary. In the United States, direct issuers save a dealer fee of approximately five basis points, or 0.05% annualized, which translates to $50,000 on every $100 million outstanding. This saving compensates for the cost of maintaining a permanent sales staff to market the paper. Dealer fees tend to be lower outside the United States .

US Commercial Paper Weekly 2001-2008

United States Commercial Paper outstanding at end of each week from 3 January 2001 to 29 October 2008. Vertical scale shows debt in billions (thousands of millions) of dollars, horizontal scale shows years. Each blue marker indicates commercial paper outstanding at that date which matures after one week.

US Commercial Paper 2001-2007

United States Commercial Paper outstanding at end of each year 2001 to 2007. Vertical scale shows debt in millions of dollars, horizontal scale shows years. All markers indicate commercial paper outstanding, maturing after December 31. Circles on blue line indicate Total commercial paper; triangles diamonds on pink line indicate SEC rule 2a-7 tier-1 commercial paper; triangles on blue line indicate Asset-backed commercial paper; squares on yellow line indicate SEC rule 2a-7 tier-2 commercial paper.

Weekly Commercial Paper Outstandings

Commercial paper is a lower cost alternative to a line of credit with a bank. Once a business becomes established and builds a high credit rating, it is often cheaper to draw on a commercial paper than on a bank line of credit. Nevertheless, many companies still maintain bank lines of credit as a backup. Banks often charge fees for the amount of the line of the credit that does not have a balance.

Advantages and Disadvantages

Advantages of commercial paper include lower borrowing costs; term flexibility; and more liquidity options for creditors due to its trade-ability.

Disadvantages of commercial paper include its limited eligibility; reduced credit limits with banks; and reduced reliability due to its strict oversight.

Asset-Backed Commercial Paper (ABCP)

Asset-Backed Commercial Paper (ABCP) is a form of commercial paper that is collateralized by other financial assets. ABCP is typically a short-term instrument that matures between one and 180 days from issuance and is typically issued by a bank or other financial institution. The firm wishing to finance its assets through the issuance of ABCP sells the assets to a Special Purpose Vehicle (SPV) or Structured Investment Vehicle (SIV), created by a financial services company. The SPV/SIV issues the ABCP to raise funds to purchase the assets. This creates a legal separation between the entity issuing and the institution financing its assets.

19.1.5: Secured vs. Unsecured Funding

Learning Objective

Differentiate between a secured loan vs. an unsecured loan

Key Points

• A loan constitutes temporarily lending money in exchange for future repayment with specific stipulations such as interest, finance charges, and fees.
• Secured loans are secured by assets such as real estate, an automobile, boat, or jewelry. The secured asset is known as collateral. In the event the borrower does not pay the loan as agreed, he/she may forfeit the asset used as collateral to the lender.
• Unsecured loans are monetary loans that are not secured against collateral. Interest rates for unsecured loans are often higher than for secured loans because the risk to the lender is greater.

Key Term

Assets

An asset is something of economic value. Examples of assets include money, real estate, and automobiles.

Examples

• A mortgage loan is a secured loan in which the collateral is real estate. If the borrower does not pay back the mortgage within the agreed upon terms, the lender may seize the property. Seizure of real estate for non-payment is also known as foreclosure. A foreclosure is a legal process in which mortgaged property is sold to pay the debt of the defaulting borrower.
• A  car loan is a secured loan in which the collateral is an automobile, If the borrower does not pay back the car loan within the agreed upon terns, the lender may seize the automobile. Seizure of an automobile for non-payment is also known as repossession.  Repossession is a legal process in which property, such as a car, is taken back by the creditor. 

Loans

Debt refers to an obligation. A loan is a monetary form of debt. A loan constitutes temporarily lending money in exchange for future repayment with specific stipulations such as interest, finance charges, and/or fees. A loan is considered a contract between the lender and the borrower. Loans may either be secured or unsecured.

Secured Loans

A secured loan is a loan in which the borrower pledges some asset (e.g., a car or property) as collateral. A mortgage loan is a very common type of debt instrument, used by many individuals to purchase housing. In this arrangement, the money is used to purchase the property. The financial institution, however, is given security — a lien on the title to the house — until the mortgage is paid off in full. If the borrower defaults on the loan, the bank has the legal right to repossess the house and sell it, to recover sums owed to it.

If the sale of the collateral does not raise enough money to pay off the debt, the creditor can often obtain a deficiency judgment against the borrower for the remaining amount. Generally speaking, secured debt may attract lower interest rates than unsecured debt due to the added security for the lender. However, credit history, ability to repay, and expected returns for the lender are also factors affecting rates. 

There are two purposes for a loan secured by debt. By extending the loan through secured debt, the creditor is relieved of most of the financial risks involved because it allows the creditor to take the property in the event that the debt is not properly repaid. For the debtor, a secured debt may receive more favorable terms than that available for unsecured debt, or to be extended credit under circumstances when credit under terms of unsecured debt would not be extended at all. The creditor may offer a loan with attractive interest rates and repayment periods for the secured debt.

Unsecured Loans

Unsecured loans are monetary loans that are not secured against the borrower’s assets. The interest rates applicable to these different forms may vary depending on the lender and the borrower. These may or may not be regulated by law. 

Interest rates on unsecured loans are nearly always higher than for secured loans, because an unsecured lender’s options for recourse against the borrower in the event of default are severely limited. An unsecured lender must sue the borrower, obtain a money judgment for breach of contract, and then pursue execution of the judgment against the borrower’s unencumbered assets (that is, the ones not already pledged to secured lenders). In insolvency proceedings, secured lenders traditionally have priority over unsecured lenders when a court divides up the borrower’s assets. Thus, a higher interest rate reflects the additional risk that in the event of insolvency, the debt may be difficult or impossible to collect.

Unsecured loans are often used by borrowers for small purchases such as computers, home improvements, vacations, or unexpected expenses. An unsecured loan means the lender relies on the borrower’s promise to pay it back. Due to the increased risk involved, interest rates for unsecured loans tend to be higher. Typically, the balance of the loan is distributed evenly across a fixed number of payments; penalties may be assessed if the loan is paid off early. Unsecured loans are often more expensive and less flexible than secured loans, but suitable if the lender wants a short-term loan (one to five years).

In the event of the bankruptcy of the borrower, the unsecured creditors will have a general claim on the assets of the borrower after the specific pledged assets have been assigned to the secured creditors, although the unsecured creditors will usually realize a smaller proportion of their claims than the secured creditors.

In some legal systems, unsecured creditors who are also indebted to the insolvent debtor are able (and in some jurisdictions, required) to set-off the debts, which actually puts the unsecured creditor with a matured liability to the debtor in a pre-preferential position.

19.1.6: Family and Friends

Learning Objective

Analyze person to person (P2P) lending

Key Points

• Somewhat similar to raising money from family and friends is person-to-person lending. Person-to-person lending is a certain breed of financial transaction which occurs directly between individuals or “peers” without the intermediation of a traditional financial institution.
• Lending money and supplies to friends, family, and community members predates formalized financial institutions, but in its modern form, peer-to-peer lending is a by-product of Internet technologies, especially Web 2.0.
• In a particular model of P2P lending known as “family and friend lending”, the lender lends money to a borrower based on their pre-existing personal, family, or business relationship.

Key Term

financial institution

In financial economics, a financial institution is an institution that provides financial services for its clients or members.

Investments from Family and Friends

Asking friends and families to invest is another common way that start-ups are funded. Often the potential entrepreneur is young, energetic, and has a good idea for a start-up, but does not have much in the way of personal savings. Friends and family may be older and have some money set aside. While your parents, or other family members should not risk all of their retirement savings on your start-up, they may be willing to risk a small percentage of it to help you out .

Family

Asking friends and families to invest is another common way that start-ups are funded.

Sometimes friends your own age are willing to work for little or no wages until your cash flow turns positive. The term “sweat equity” is often used for this type of contribution as the owner will often reward such loyalty with a small percentage ownership of the organization in lieu of cash. A variation on this is barter or trade. This is a method by which you could provide a needed service such as consulting or management advice in return for the resources needed for your start up. This needs to be accounted for in your accounting records also.

Person-to-Person Lending

Somewhat similar to raising money from family and friends is person-to-person lending. Person-to-person lending (also known as peer-to-peer lending, peer-to-peer investing, and social lending; abbreviated frequently as P2P lending) is a certain breed of financial transaction (primarily lending and borrowing, though other more complicated transactions can be facilitated) which occurs directly between individuals or “peers” without the intermediation of a traditional financial institution. However, person-to-person lending is for the most part a for-profit activity, which distinguishes it from person-to-person charities, person-to-person philanthropy, and crowdfunding.

Lending money and supplies to friends, family, and community members predates formalized financial institutions, but in its modern form, peer-to-peer lending is a by-product of Internet technologies, especially Web 2.0. The development of the market niche was further boosted by the global economic crisis in 2007 to 2010 when person-to-person lending platforms promised to provide credit at the time when banks and other traditional financial institutions were having fiscal difficulties.

Many peer-to-peer lending companies leverage existing communities and pre-existing interpersonal relationships with the idea that borrowers are less likely to default to the members of their own communities. The risk associated with lending is minimized either through mutual (community) support of the borrower or, as occurs in some instances, through forms of social pressure. The peer-to-peer lending firms either act as middlemen between friends and family to assist with calculating repayment terms, or connect anonymous borrowers and lenders based on similarities in their geographic location, educational and professional background, and connectedness within a given social network.

In a particular model of P2P lending known as “family and friend lending”, the lender lends money to a borrower based on their pre-existing personal, family, or business relationship. The model forgoes an auction-like process and concentrates on formalizing and servicing a personal loan. Lenders can charge below market rates to assist the borrower and mitigate risk. Loans can be made to pay for homes, personal needs, school, travel, or any other needs.

Advantages and Criticisms

One of the main advantages of person-to-person lending for borrowers has been better rates than traditional bank rates can offer (often below 10%). The advantages for lenders are higher returns that would be unobtainable from a savings account or other investments.

As person-to-person lending companies and their customer base continue to grow, marketing expenses and administrative costs associated with customer service and arbitration, maintaining product information, and developing quality websites to service customers and stand out among competitors will rise. In addition, compliance to legal regulations becomes more complicated. This causes many of the original benefits from disintermediation to fade away and turns person-to-person companies into new intermediaries, much like the banks that they originally differentiated from. This process of reintroducing intermediaries is known as reintermediation.

Person-to-person lending also attracts borrowers who, because of their past credit status or the lack of thereof, are unqualified for traditional bank loans. The unfortunate situation of these borrowers is well-known for the people issuing the loans and results in very high interest rates that verge on predatory lending and loan sharking.

19.1.7: Commercial Banks

Learning Objective

Sketch out the role of commercial banks in money lending

Key Points

• Commercial banks may provide a secured loan, which are monetary loans that have borrower collateral pledged against their repayment.
• Commercial banks may also provide unsecured loans, which are monetary loans that are not secured against the borrower’s assets (i.e., no collateral is involved).
• Accessing funds through a commercial bank is a very common way of accessing funds when in need, particularly in the case of small or entrepreneurial businesses.

Key Term

collateral

A security or guarantee (usually an asset) pledged for the repayment of a loan if one cannot procure enough funds to repay. (Originally supplied as “accompanying” security. )

A commercial or business bank , is a type of financial institution and intermediary that lends money, accepts time deposits, and provides transactional, savings, and money market accounts.

Commercial banks

A commercial bank (or business bank) is a type of financial institution and intermediary.

Commercial banks engage in the following activities: the processing of payments; accepting money on term deposit; lending money by overdraft, installment loan, or other means; providing documentary and standby letters of credit guarantees, performance bonds, securities underwriting commitments and other forms of off- balance sheet exposures; and the safekeeping of documents and other items in safe deposit boxes.

Commercial banks provide a number of loans. A secured loan is when a borrower pledges some asset (e.g., a car or property) as collateral for it, which then becomes a secured debt owed to the creditor who gives the loan. The debt is thus secured against the collateral. In the event that the borrower defaults, the creditor takes possession of the asset used as collateral and may sell it to regain some or all of the amount originally lent to the borrower.

Commercial banks may also provide unsecured loans, which are monetary loans that are not secured against the borrower’s assets (i.e., no collateral is involved). Some examples of unsecured loans include credit cards and credit lines.

An overdraft is an example of an unsecured loan. An overdraft occurs when money is withdrawn from a bank account and the available balance goes below zero. In this situation, the account is said to be “overdrawn”. If there is a prior agreement with the account provider for an overdraft, and the amount overdrawn is within the authorized overdraft limit, then interest is normally charged at the agreed rate. If the positive balance exceeds the agreed terms, then additional fees may be charged and higher interest rates may apply.

Accessing funds through a commercial bank is very typical, and a common way of accessing funds when in need, particularly in the case of small or entrepreneurial businesses.

19.1.8: Trade Credit or Accounts Payable

Learning Objective

Explain the process of using and recording accounts payable

Key Points

• There are many forms of trade credit in common use; often industry-specific. They all benefit from their collaboration to make efficient use of capital to accomplish various business objectives.
• An accounts payable is recorded in the Account Payable sub-ledger at the time an invoice is vouchered for payment.
• Commonly, a supplier will ship a product, issue an invoice, and collect payment later, which describes a cash conversion cycle, or a period of time during which the supplier has already paid for raw materials but hasn’t been paid in return by the final customer.

Key Term

supplier

One who supplies; a provider.

Trade Credit

Trade credit is the largest use of capital for a majority of business to business (B2B) sellers in the United States and is a critical source of capital for a majority of all businesses. For example, Wal-Mart, the largest retailer in the world, has used trade credit as a larger source of capital than bank borrowings. Trade credit for Wal-Mart is eight times the amount of capital invested by shareholders.

For many borrowers in the developing world, trade credit serves as a valuable source of alternative data for personal and small business loans.

There are many forms of trade credit in common use; often industry-specific. They all benefit from their collaboration to make efficient use of capital to accomplish various business objectives.

Accounts Payable (A/P)

Accounts Payable (A/P and also known as creditors) is money owed by a business to its suppliers. An accounts payable is recorded in the A/P sub-ledger at the time an invoice is vouchered for payment. Payables are often categorized as Trade Payables, payables for the purchase of physical goods that are recorded in Inventory, and Expense Payables, payables for the purchase of goods or services that are expensed. Common examples of Expense Payables are advertising, travel, entertainment, office supplies, and utilities. A/P is a form of credit that suppliers offer to their customers by allowing them to pay for a product or service after it has already been received .

Credit

Accounts Payable (also known as Creditors) is money owed by a business to its suppliers.

In households, these payables are ordinarily bills such as utility, rent, etc. Households usually track and pay on a monthly basis manually by using checks, credit cards, or online banking. In a business, there is usually a much broader range of suppliers to pay, and accountants or bookkeepers usually use accounting software to track the flow of money into this liability account when they receive invoices and out of it when they make payments. Increasingly, large firms often use specialized automation solutions (commonly called ePayables) to automate the paper and manual elements of processing an organization’s invoices.

Commonly, a supplier will ship a product, issue an invoice, and collect payment later, which describes a cash conversion cycle, a period of time during which the supplier has already paid for raw materials but hasn’t been paid in return by the final customer. When the invoice is received by the purchaser, it is matched to the packing slip and purchase order, and if all is in order, the invoice is paid. This is referred to as the three-way match. The three-way match can slow down the payment process, so the method may be modified. For example, three-way matching may be limited solely to large-value invoices, or the matching is automatically approved if the received quantity is within a certain percentage of the amount authorized in the purchase order.

18.1: The Importance of Cash

18.1.1: Reasons for Maintaining Cash on Hand

Learning Objective

Explain the importance for always having cash on hand

Key Points

• Liquidity is the ability to meet obligations when they come due without incurring unacceptable losses.
• Banks can generally maintain as much liquidity as desired, because bank deposits are insured by governments in most developed countries.
• Banks can attract significant liquid funds to generate stronger profits, more stability, and more confidence among depositors, investors, and regulators.
• Cash is the most liquid asset and can be used immediately to perform economic actions like buying, selling, or paying debt, and meeting immediate wants and needs.
• Bank can attract significant liquid funds to generate stronger profits, more stability, and more confidence among depositors, investors, and regulators.

Key Terms

liquidity

Availability of cash over short term: ability to service short-term debt.

money market

A market for trading short-term debt instruments, such as treasury bills, commercial paper, bankers’ acceptances, and certificates of deposit

In business, economics, or investment, market liquidity is an asset’s ability to be sold without causing a significant movement in the price and with minimum loss of value. Money, or cash, is the most liquid asset, and can be used immediately to perform economic actions like buying, selling, paying debt, and meeting immediate wants and needs.

In bookkeeping and accounting, cash refers to current assets comprising currency or currency equivalents that can be accessed immediately or near immediately (as in the case of money market accounts). Cash is seen as a reserve for payments and as a way to meet financial obligations.

Cash

A business’s cash account is how much currency it has on hand at a given time.

In banking, liquidity is the ability to meet obligations when they come due without incurring unacceptable losses. Managing liquidity is a daily process requiring bankers to monitor and project cash flows to ensure adequate liquidity is maintained. Maintaining a balance between short-term assets and short-term liabilities is critical. For an individual bank, clients’ deposits are its primary liabilities (in the sense that the bank is meant to give back all client deposits on demand), whereas reserves and loans are its primary assets (in the sense that these loans are owed to the bank, not by the bank). The investment portfolio represents a smaller portion of assets, and serves as the primary source of liquidity. Investment securities can be liquidated to satisfy deposit withdrawals and increased loan demand. Banks have several additional options for generating liquidity, such as selling loans, borrowing from other banks, borrowing from a central bank, such as the U.S. Federal Reserve Bank, and raising additional capital. In a worst case scenario, depositors may demand their funds when the bank is unable to generate adequate cash without incurring substantial financial losses. In severe cases, this may result in a bank run. Most banks are subject to legally mandated requirements intended to help banks avoid a liquidity crisis.

18.1.2: Defining the Cash Flow Cycle

Learning Objective

Define the cash flow cycle

Key Points

• In management accounting, the cash conversion cycle (CCC) measures how long a firm will be deprived of cash if it increases its investment in resources in order to expand customer sales.
• It is thus a measure of the liquidity risk entailed by growth. However, shortening the CCC creates its own risks. While a firm could even achieve a negative CCC by collecting from customers before paying suppliers, a policy of strict collections and lax payments is not always sustainable.
• The term “cash conversion cycle” refers to the timespan between a firm’s disbursing and collecting cash.
• Since a retailer’s operations consist of buying and selling inventory, the equation models the time between (1) disbursing cash to satisfy the accounts payable created by purchase of inventory, and (2) collecting cash to satisfy the accounts receivable generated by that sale.

Key Terms

retail

The sale of goods directly to the consumer; encompassing the storefronts, mail-order, websites, etc., and the corporate mechanisms, branding, advertising, etc. that support them, which are involved in the business of selling and point-of-sale marketing retail goods to the public.

cash flow

The sum of cash revenues and expenditures over a period of time.

balance sheet

A summary of a person’s or organization’s assets, liabilities and equity as of a specific date.

Cash flow cycle also is called “cash conversion cycle” (CCC). In management accounting, the CCC measures how long a firm will be deprived of cash if it increases its investment in resources in order to expand customer sales. It is thus a measure of the liquidity risk entailed by growth. However, shortening the CCC creates its own risks: while a firm could even achieve a negative CCC by collecting from customers before paying suppliers, a policy of strict collections and lax payments is not always sustainable.

Cash Conversion Cycle

The cash conversion cycle refers to the time frame between a firm’s cash disbursement and cash collection. However, the CCC cannot be directly observed in cash flows, because these are also influenced by investment and financing activities; it must be derived from statement of financial position or balance sheet data associated with the firm’s operations.

Retail

Although the term “cash conversion cycle” technically applies to a firm in any industry, the equation is formulated to apply specifically to a retailer. Since a retailer’s operations consist of buying and selling inventory, the equation models the time between the following:

1. Disbursing cash to satisfy the accounts payable created by purchase of inventory; and
2. Collecting cash to satisfy the accounts receivable generated by that sale.

The CCC must be calculated by tracing a change in cash through its effect upon receivables, inventory, payables, and finally back to cash, thus, the term cash conversion cycle, and the observation that these four accounts “articulate” with one another.

The equation describes a firm that buys and sells on account. Also, the equation is written to accommodate a firm that buys and sells on account. For a cash-only firm, the equation would only need data from sales operations (e.g., changes in inventory), because disbursing cash would be directly measurable as purchase of inventory, and collecting cash would be directly measurable as sale of inventory.

However, for a firm that buys and sells on account, Increases and decreases in inventory do not occasion cash flows but accounting vehicles (receivables and payables, respectively); increases and decreases in cash will remove these accounting vehicles (receivables and payables, respectively) from the books.

18.1.3: Calculating the Cash Flow Cycle

Learning Objective

Calculate a company’s cash flow cycle

Key Points

• Cash flow cycle = Inventory conversion period + Receivables conversion period – Payables conversion period.
• Inventory conversion period = Avg. Inventory / (COGS / 365); Receivables conversion period = Avg. Accounts Receivable / (Credit Sales / 365); Payables conversion period = Avg. Accounts Payable / (Purchases / 365).
• There are five important intervals, referred to as conversion cycles (or conversion periods).
• Our aim of studying cash conversion cycle and its calculation is to change the policies relating to credit purchase and credit sales.

Key Term

Credit Sales

Credit Sales are all sales made on credit.

Cash Flow Cycle

The cash flow cycle is also called cash conversion cycle (CCC).

CCC=# days between disbursing cash and collecting cash in connection with undertaking a discrete unit of operations.

=Inventory conversion period + Receivables conversion period – Payables conversion period

Inventory conversion period = Avg. Inventory / (COGS / 365)

Receivables conversion period = Avg. Accounts Receivable / (Credit Sales / 365)

Payables conversion period = Avg. Accounts Payable / (Purchases / 365)

There are five important intervals, referred to as conversion cycles (or conversion periods):

• The Cash Conversion Cycle emerges as interval C→D (i.e., disbursing cash→collecting cash).
• The payables conversion period (or “Days payables outstanding”) emerges as interval A→C (i.e., owing cash→disbursing cash)
• The operating cycle emerges as interval A→D (i.e., owing cash→collecting cash)
• The inventory conversion period or “Days inventory outstanding” emerges as interval A→B (i.e., owing cash→being owed cash)
• The receivables conversion period (or “Days sales outstanding”) emerges as interval B→D (i.e., being owed cash→collecting cash)