Creating a Basic Formula

FormulasUsed to calculate a variety of mathematical outputs in Excel and can be used to create virtually any custom calculation required for your objective. are used to calculate a variety of mathematical outputs in Excel and can be used to create virtually any custom calculation required for your objective. Furthermore, when constructing a formula in Excel, you use cell locations that, when added to a formula, become cell referencesCell addresses used in formulas. Excel references the values entered into the cell locations used in formulas to produce outputs. When the values are changed in a cell referenced by a formula, Excel automatically produces new outputs. When a cell reference is used by itself in a cell location (cell address preceded by an equal sign [=]), Excel displays the value entered into that cell location.. This means that Excel uses, or references, the number entered into the cell location when calculating a mathematical output. As a result, when the numbers in the cell references are changed, Excel automatically produces a new output. This is what gives Excel the ability to create a variety of what-if scenarios, which will be explained later in the chapter.

To demonstrate the construction of a basic formula, we will begin working on the Budget Detail worksheet in the Personal Budget workbook, which is shown in Figure 2.2 “Budget Detail Worksheet”. To complete this worksheet, we will add several formulas and functions. Table 2.1 “Spend Category Definitions” provides definitions for each of the spend categories listed in the range A3:A11. When you develop a personal budget, these categories are defined on the basis of how you spend your money. It is likely that every person could have different categories or define the same categories differently. Therefore, it is important to review the definitions in Table 2.1 “Spend Category Definitions” to understand how we are defining these categories before proceeding.

The first formula that we will add to the Budget Detail worksheet will calculate the Monthly Spend values. The formula will be constructed so that it takes the values in the Annual Spend column and divides them by 12. This will show how much money will be spent per month for each of the categories listed in Column A. The following explains how this formula is created:

1. Click the Budget Detail worksheet tab to open the worksheet.
2. Click cell C3.
3. Type an equal sign (=). When the first character entered into a cell location is an equal sign, it signals Excel to perform a calculation or produce a logical output.
4. Type D3. This adds D3 to the formula, which is now a cell reference. Excel will use whatever value is entered into cell D3 to produce an output.
5. Type the slash symbol (/). This is the symbol for division in Excel. As shown in Table 2.2 “Excel Mathematical Operators”, the mathematical operators in Excel are slightly different from those found on a typical calculator.
6. Type the number 12. This divides the value in cell D3 by 12. In this formula, a number, or constantNumerical value used in the construction of formulas. Constants should have some universal quality that does not change, such as days in a week or minutes in an hour., is used instead of a cell reference because it will not change. In other words, there will always be 12 months in a year.
7. Press the ENTER key.

Figure 2.3 “Adding a Formula to a Worksheet” shows how the formula appears in cell C3 before you press the ENTER key. Figure 2.4 “Formula Output for Monthly Spend” shows the output of the formula after you press the ENTER key. The monthly spend for Household Utilities is $250 because the formula is taking the Annual Spend in cell D3 and dividing it by 12. If the value in cell D3 is changed, the formula automatically produces a new output. We are calculating the spend per month for each category because people often get paid and are billed for these items on a monthly basis. This formula allows you to compare your monthly income to your monthly bills to determine whether you have enough income to pay these expenses.

Relative References (Copying and Pasting Formulas)

Once a formula is typed into a worksheet, it can be copied and pasted to other cell locations. For example, Figure 2.4 “Formula Output for Monthly Spend” shows the output of the formula that was entered into cell C3. However, this calculation needs to be performed for the rest of the cell locations in Column C. Since we used the D3 cell reference in the formula, Excel automatically adjusts that cell reference when the formula is copied and pasted into the rest of the cell locations in the column. This is called relative referencingExcel automatically adjusts a cell reference used in a formula or function relative to its original location when it is pasted into new cell locations. and is demonstrated as follows:

1. Click cell C3.
2. Click the Copy button in the Home tab of the Ribbon.
3. Highlight the range C4:C11.
4. Click the Paste button in the Home tab of the Ribbon.
5. Double click cell C6. Notice that the cell reference in the formula is automatically changed to D6.
6. Press the ENTER key.

Figure 2.5 “Relative Reference Example” shows the outputs added to the rest of the cell locations in the Monthly Spend column. For each row, the formula takes the value in the Annual Spend column and divides it by 12. You will also see that cell D6 has been double clicked to show the formula. Notice that Excel automatically changed the original cell reference of D3 to D6. This is the result of relative referencing, which means Excel automatically adjusts a cell reference relative to its original location when it is pasted into new cell locations. In this example, the formula was pasted into eight cell locations below the original cell location. As a result, Excel increased the row number of the original cell reference by a value of one for each row it was pasted into.

Creating Complex Formulas (Controlling the Order of Operations)

The next formula to be added to the Personal Budget workbook is the percent change over last year. This formula determines the difference between the values in the LY (Last Year) Spend column and shows the difference in terms of a percentage. This requires that the order of mathematical operations be controlled to get an accurate result. Table 2.3 “Standard Order of Mathematical Operations” shows the standard order of operations for a typical formula. To change the order of operations shown in the table, we use parentheses to process certain mathematical calculations first. This formula is added to the worksheet as follows:

1. Click cell F3 in the Budget Detail worksheet.
2. Type an equal sign (=).
3. Type an open parenthesis (().
4. Click cell D3. This will add a cell reference to cell D3 to the formula. When building formulas, you can click cell locations instead of typing them.
5. Type a minus sign (−).
6. Click cell E3 to add this cell reference to the formula.
7. Type a closing parenthesis ()).
8. Type the slash (/) symbol for division.
9. Click cell E3. This completes the formula that will calculate the percent change of last year’s actual spent dollars vs. this year’s budgeted spend dollars (see Figure 2.6 “Adding the Percent Change Formula”).
10. Press the ENTER key.
11. Click cell F3 to activate it.
12. Place the mouse pointer over the Auto Fill Handle.
13. When the mouse pointer turns from a white block plus sign to a black plus sign, click and drag down to cell F11. This pastes the formula into the range F4:F11.

Figure 2.6 “Adding the Percent Change Formula” shows the formula that was added to the Budget Detail worksheet to calculate the percent change in spending. The parentheses were added to this formula to control the order of operations. Any mathematical computations placed in parentheses are executed first before the standard order of mathematical operations (see Table 2.3 “Standard Order of Mathematical Operations”). In this case, if parentheses were not used, Excel would produce an erroneous result for this worksheet.

Figure 2.7 “Removing the Parentheses from the Percent Change Formula” shows the result of the percent change formula if the parentheses are removed. The formula produces a result of a 299900% increase. Since there is no change between the LY spend and the budget Annual Spend, the result should be 0%. However, without the parentheses, Excel is following the standard order of operations. This means the value in cell E3 will be divided by E3 first (3,000/3,000), which is 1. Then, the value of 1 will be subtracted from the value in cell D3 (3,000−1), which is 2,999. Since cell F3 is formatted as a percentage, Excel expresses the output as an increase of 299900%.

Auditing Formulas

Excel provides a few tools that you can use to review the formulas entered into a worksheet. For example, instead of showing the outputs for the formulas used in a worksheet, you can have Excel show the formula as it was entered in the cell locations. This is demonstrated as follows:

1. With the Budget Detail worksheet open, click the Formulas tab of the Ribbon.
2. Click the Show Formulas button in the Formula Auditing group of commands. This displays the formulas in the worksheet instead of showing the mathematical outputs.
3. Click the Show Formulas button again. The worksheet returns to showing the output of the formulas.

Figure 2.8 “Show Formulas Command” shows the Budget Detail worksheet after activating the Show Values command in the Formulas tab of the Ribbon. As shown in the figure, this command allows you to view and check all the formulas in a worksheet without having to click each cell individually. After activating this command, the column widths in your worksheet increase significantly. The column widths were adjusted for the worksheet shown in Figure 2.8 “Show Formulas Command” so all columns can be seen. The column widths return to their previous width when the Show Formulas command is deactivated.

Two other tools in the Formula Auditing group of commands are the Trace Precedents and Trace Dependents commands. These commands are used to trace the cell references used in a formula. The Trace Dependents command shows where any given cell is referenced in a formula. The Trace Precedents command shows what cells have been referenced in a formula that exists in an activated cell. The following is a demonstration of these commands:

1. Click cell D3 in the Budget Detail worksheet.
2. Click the Trace Dependents button in the Formula Auditing group of commands in the Formulas tab of the Ribbon. A double blue arrow appears, pointing to cell locations C3 and F3 (see Figure 2.9 “Trace Dependents Example”). This indicates that cell D3 is referenced in formulas that are entered in cells C3 and F3.
3. Click the Remove Arrows command in the Formula Auditing group of commands in the Formulas tab of the Ribbon. This removes the Trace Dependents arrow.
4. Click cell F3 in the Budget Detail worksheet.
5. Click the Trace Precedents button in the Formula Auditing group of commands in the Formulas tab of the Ribbon. A blue arrow running through cells D3 and E3 and pointing to cell F3 appears (see Figure 2.10 “Trace Precedents Example”). This indicates that cells D3 and E3 are references in a formula entered in cell F3.
6. Click the Remove Arrows command in the Formula Auditing group of commands in the Formulas tab of the Ribbon. This removes the Trace Precedents arrow.

Figure 2.9 “Trace Dependents Example” shows the Trace Dependents arrow on the Budget Detail worksheet. The blue dot represents the activated cell. The arrows indicate where the cell is referenced in formulas.

Figure 2.10 “Trace Precedents Example” shows the Trace Precedents arrow on the Budget Detail worksheet. The blue dots on this arrow indicate the cells that are referenced in the formula contained in the activated cell. The arrow is pointing to the activated cell location that contains the formula.

The SUM Function

The SUM function is used when you need to calculate totals for a range of cells or a group of selected cells on a worksheet. With regard to the Budget Detail worksheet, we will use the SUM function to calculate the totals in row 12. It is important to note that there are several methods for adding a function to a worksheet, which will be demonstrated throughout the remainder of this chapter. The following illustrates how a function can be added to a worksheet by typing it into a cell location:

1. Click the Budget Detail worksheet tab to open the worksheet.
2. Click cell C12.
3. Type an equal sign (=).
4. Type the function name SUM.
5. Type an open parenthesis (().
6. Click cell C3 and drag down to cell C11. This places the range C3:C11 into the function.
7. Type a closing parenthesis ()).
8. Press the ENTER key. The function calculates the total for the Monthly Spend column, which is $1,496.

Figure 2.11 “Adding the SUM Function to the Budget Detail Worksheet” shows the appearance of the SUM function added to the Budget Detail worksheet before pressing the ENTER key.

As shown in Figure 2.11 “Adding the SUM Function to the Budget Detail Worksheet”, the SUM function was added to cell C12. However, this function is also needed to calculate the totals in the Annual Spend and LY Spend columns. The function can be copied and pasted into these cell locations because of relative referencing. Relative referencing serves the same purpose for functions as it does for formulas. The following demonstrates how the total row is completed:

1. Click cell C12 in the Budget Detail worksheet.
2. Click the Copy button in the Home tab of the Ribbon.
3. Highlight cells D12 and E12.
4. Click the Paste button in the Home tab of the Ribbon. This pastes the SUM function into cells D12 and E12 and calculates the totals for these columns.
5. Click cell F11.
6. Click the Copy button in the Home tab of the Ribbon.
7. Click cell F12, then click the Paste button in the Home tab of the Ribbon. Since we now have totals in row 12, we can paste the percent change formula into this row.

Figure 2.12 “Results of the SUM Function in the Budget Detail Worksheet” shows the output of the SUM function that was added to cells C12, D12, and E12. In addition, the percent change formula was copied and pasted into cell F12. Notice that this version of the budget is planning a 1.7% decrease in spending compared to last year.

Absolute References (Calculating Percent of Totals)

Since totals were added to row 12 of the Budget Detail worksheet, a percent of total calculation can be added to Column B beginning in cell B3. The percent of total calculation shows the percentage for each value in the Annual Spend column with respect to the total in cell D12. However, after the formula is created, it will be necessary to turn off Excel’s relative referencing feature before copying and pasting the formula to the rest of the cell locations in the column. Turning off Excel’s relative referencing feature is accomplished through an absolute reference. The following steps explain how this is done:

1. Click cell B3 in the Budget Detail worksheet.
2. Type an equal sign (=).
3. Click cell D3.
4. Type a forward slash (/).
5. Click cell D12.
6. Press the ENTER key. You will see that Household Utilities represents 16.7% of the Annual Spend budget (see Figure 2.14 “Adding a Formula to Calculate the Percent of Total”).

Figure 2.14 “Adding a Formula to Calculate the Percent of Total” shows the completed formula that is calculating the percentage that Household Utilities Annual Spend represents to the total Annual Spend for the budget (see cell B3). Normally, we would copy this formula and paste it into the range B4:B11. However, because of relative referencing, both cell references will increase by one row as the formula is pasted into the cells below B3. This is fine for the first cell reference in the formula (D3) but not for the second cell reference (D12). Figure 2.15 “#DIV/0 Error from Relative Referencing” illustrates what happens if we paste the formula into the range B4:B12 in its current state. Notice that Excel produces the #DIV/0Error code displayed in a cell containing a formula or function that is trying to divide by zero. error code. This means that Excel is trying to divide a number by zero, which is impossible. Looking at the formula in cell B4, you see that the first cell reference was changed from D3 to D4. This is fine because we now want to divide the Annual Spend for Insurance by the total Annual Spend in cell D12. However, Excel has also changed the D12 cell reference to D13. Because cell location D13 is blank, the formula produces the #DIV/0 error code.

To eliminate the divide-by-zero error shown in Figure 2.15 “#DIV/0 Error from Relative Referencing”, we must add an absolute reference to cell D12 in the formula. An absolute referencePrevents Excel from using relative referencing to change a cell reference used in a formula or function; an absolute reference is applied to a cell reference by typing a dollar sign ($) in front of the column letter and row number. prevents relative referencing from changing a cell reference in a formula. This is also referred to as locking a cell. The following explains how this is accomplished:

1. Double click cell B3.
2. Place the mouse pointer in front of D12 and click. The blinking cursor should be in front of the D in the cell reference D12.
3. Press the F4 key. You will see a dollar sign ($) added in front of the column letter D and the row number 12. You can also type the dollar signs in front of the column letter and row number.
4. Press the ENTER key.
5. Click cell B3.
6. Click the Copy button in the Home tab of the Ribbon.
7. Highlight the range B4:B11.
8. Click the Paste button in the Home tab of the Ribbon.

Figure 2.16 “Adding an Absolute Reference to a Cell Reference in a Formula” shows the percent of total formula with an absolute reference added to D12. Notice that in cell B4, the cell reference remains D12 instead of changing to D13 as shown in Figure 2.15 “#DIV/0 Error from Relative Referencing”. Also, you will see that the percentages are being calculated in the rest of the cells in the column, and the divide-by-zero error is now eliminated.

The COUNT Function

The next function that we will add to the Budget Detail worksheet is the COUNT function. The COUNT function is used to determine how many cells in a range contain a numeric entry. For the Budget Detail worksheet, we will use the COUNT function to count the number of items that are planned in the Annual Spend column (Column D). The following explains how the COUNT function is added to the worksheet by using the function list:

1. Click cell D13 in the Budget Detail worksheet.
2. Type an equal sign (=).
3. Type the letter C.
4. Click the down arrow on the scroll bar of the function list (see Figure 2.17 “Using the Function List to Add the COUNT Function”) and find the word COUNT.
5. Double click the word COUNT from the function list.
6. Highlight the range D3:D11.
7. Type a closing parenthesis ()).
8. Press the ENTER key. The function produces an output of 9 since there are 9 items planned on the worksheet.

Figure 2.17 “Using the Function List to Add the COUNT Function” shows the function list box that appears after completing steps 2 and 3 for the COUNT function. The function list provides an alternative method for adding a function to a worksheet.

Figure 2.18 “Completed COUNT Function in the Budget Detail Worksheet” shows the output of the COUNT function after pressing the ENTER key. The function counts the number of cells in the range D3:D11 that contain a numeric value. The result of 9 indicates that there are 9 categories planned for this budget.

The AVERAGE Function

The next function we will add to the Budget Detail worksheet is the AVERAGE function. This function is used to calculate the arithmetic mean for a group of numbers. For the Budget Detail worksheet, we will use the function to calculate the average of the values in the Annual Spend column. We will add this to the worksheet by using the Function Library. The following steps explain how this is accomplished:

1. Click cell D14 in the Budget Detail worksheet.
2. Click the Formulas tab on the Ribbon.
3. Click the More Functions button in the Function Library group of commands.
4. Place the mouse pointer over the Statistical option from the drop-down list of options.
5. Click the AVERAGE function name from the list of functions that appear in the menu (see Figure 2.19 “Selecting the AVERAGE Function from the Function Library”). This opens the Function Arguments dialog box.
6. Click the Collapse Dialog button in the Function Arguments dialog box (see Figure 2.20 “Function Arguments Dialog Box”).
7. Highlight the range D3:D11.
8. Click the Expand Dialog button in the Function Arguments dialog box (see Figure 2.21 “Selecting a Range from the Function Arguments Dialog Box”). You can also press the ENTER key to get the same result.
9. Click the OK button on the Function Arguments dialog box. This adds the AVERAGE function to the worksheet.

Figure 2.19 “Selecting the AVERAGE Function from the Function Library” illustrates how a function is selected from the Function Library in the Formulas tab of the Ribbon.

Figure 2.20 “Function Arguments Dialog Box” shows the Function Arguments dialog box. This appears after a function is selected from the Function Library. The Collapse Dialog button is used to hide the dialog box so a range of cells can be highlighted on the worksheet and then added to the function.

Figure 2.21 “Selecting a Range from the Function Arguments Dialog Box” shows how a range of cells can be selected from the Function Arguments dialog box once it has been collapsed.

Figure 2.22 “Function Arguments Dialog Box after a Cell Range Is Defined for a Function” shows the Function Arguments dialog box after the cell range is defined for the AVERAGE function. The dialog box shows the result of the function before it is added to the cell location. This allows you to assess the function output to determine whether it makes sense before adding it to the worksheet.

Figure 2.23 “Completed AVERAGE Function” shows the completed AVERAGE function in the Budget Detail worksheet. The output of the function shows that on average we expect to spend $1,994 for each of the categories listed in Column A of the budget. This average spend calculation per category can be used as an indicator to determine which categories are costing more or less than the average budgeted spend dollars.

The MAX and MIN Functions

The final two statistical functions that we will add to the Budget Detail worksheet are the MAX and MIN functions. These functions identify the highest and lowest values in a range of cells. The following steps explain how to add these functions to the Budget Detail worksheet:

1. Click cell D15 in the Budget Detail worksheet.
2. Type an equal sign (=).
3. Type the word MIN.
4. Type an open parenthesis (().
5. Highlight the range D3:D11.
6. Type a closing parenthesis ()).
7. Press the ENTER key. The MIN function produces an output of $1,200, which is the lowest value in the Annual Spend column (see Figure 2.24 “MIN Function Added to the Budget Detail Worksheet”).
8. Click cell D16.
9. Type an equal sign (=).
10. Type the word MAX.
11. Type an open parenthesis (().
12. Highlight the range D3:D11.
13. Type a closing parenthesis ()).
14. Press the ENTER key. The MAX function produces an output of $3,500. This is the highest value in the Annual Spend column (see Figure 2.25 “MAX Function Added to the Budget Detail Worksheet”).

Copy and Paste Formulas (Pasting without Formats)

As shown in Figure 2.25 “MAX Function Added to the Budget Detail Worksheet”, the COUNT, AVERAGE, MIN, and MAX functions are summarizing the data in the Annual Spend column. You will also notice that there is space to copy and paste these functions under the LY Spend column. This allows us to compare what we spent last year and what we are planning to spend this year. Normally, we would simply copy and paste these functions into the range E13:E16. However, you may have noticed the double-line style border that was used around the perimeter of the range B13:E16. If we used the regular Paste command, the double line on the right side of the range E13:E16 would be replaced with a single line. Therefore, we are going to use one of the Paste Special commands to paste only the functions without any of the formatting treatments. This is accomplished through the following steps:

1. Highlight the range D13:D16 in the Budget Detail worksheet.
2. Click the Copy button in the Home tab of the Ribbon.
3. Click cell E13.
4. Click the down arrow below the Paste button in the Home tab of the Ribbon.
5. Click the Formulas option from the drop-down list of buttons (see Figure 2.26 “Paste Formulas Option”).

Figure 2.26 “Paste Formulas Option” shows the list of buttons that appear when you click the down arrow below the Paste button in the Home tab of the Ribbon. One thing to note about these options is that you can preview them before you make a selection by dragging the mouse pointer over the options. As shown in the figure, when the mouse pointer is placed over the Formulas button, you can see how the functions will appear before making a selection. Notice that the double-line border does not change when this option is previewed. That is why this selection is made instead of the regular Paste option.

Sorting Data (Multiple Levels)

The Budget Detail worksheet shown in Figure 2.26 “Paste Formulas Option” is now producing several mathematical outputs through formulas and functions. The outputs allow you to analyze the details and identify trends as to how money is being budgeted and spent. Before we draw some conclusions from this worksheet, we will sort the data based on the Percent of Total column. As mentioned in Chapter 1 “Fundamental Skills”, sorting is a powerful tool that enables you to analyze key trends in any data set. We demonstrated the process of executing a single-level sort in Chapter 1 “Fundamental Skills”. For the purposes of the Budget Detail worksheet, we need to set multiple levels for the sort order. This is accomplished through the following steps:

1. Highlight the range A2:F11 in the Budget Detail worksheet.
2. Click the Data tab in the Ribbon.

3. Click the Sort button in the Sort & Filter group of commands. This opens the Sort dialog box, as shown in Figure 2.27 “Sort Dialog Box”.

   Figure 2.27 Sort Dialog Box

   

4. Click the down arrow next to the “Sort by” box.
5. Click the Percent of Total option from the drop-down list.
6. Click the down arrow next to the sort Order box.
7. Click the Largest to Smallest option.
8. Click the Add Level button. This allows you to set a second level for any duplicate values in the Percent of Total column.
9. Click the down arrow next to the “Then by” box.
10. Select the LY Spend option.
11. Click the OK button at the bottom of the Sort dialog box.

Figure 2.28 “Budget Detail Worksheet after Sorting” shows the Budget Detail worksheet after it has been sorted. Notice that there are three identical values in the Percent of Total column. This is why a second sort level had to be created for this worksheet. The second sort level arranges the values of 8.4% based on the values in the LY Spend column in ascending order. Excel gives you the option to set as many sort levels as necessary for the data contained in a worksheet.

Now that the Budget Detail worksheet is sorted, a few key trends can be easily identified. The worksheet clearly shows that the top three categories as a percentage of total budgeted spending for the year are Taxes, Household Utilities, and Food. All three categories are necessities (or realities) of life and typically require a significant amount of income for most households. Looking at the Percent Change column, we can see how our planned spending is expected to change from last year. This is perhaps the most import column on the worksheet because it allows you to assess whether your plan is realistic. You will see that there are no changes planned for Taxes and Household Utilities. While Taxes can change from year to year, it is not too difficult to predict what they will be. In this case, we are assuming that there are no changes to the tax costs for our budget. We are also planning no change in Household Utilities. These costs can fluctuate from year to year as well. However, you can take measures to reduce costs, such as using less electricity, turning off heat when no one is in the house, keeping track of your wireless minutes so you do not go over the maximum allowed in your plan, and so on. As a result, there is no change in planned spending for Household Utilities because we will assume that any rate increases will be offset with a decrease in usage. The third item that is planned not to change is Insurance. Insurance policies for cars and homes can change, but as is true for taxes, the changes are predictable. Therefore, we are assuming no changes in our insurance policy.

The first big change that is noticeable in the worksheet is the Food and Entertainment categories in rows 5 and 6 (see definitions in Table 2.1 “Spend Category Definitions”). The Percent Change column indicates that there is an 11.1% decrease in Entertainment spending and an 11.1% increase in Food spending. This is logical because if you plan to eat in restaurants less frequently, you will be eating at home more frequently. Although this makes sense in theory, it may be hard to do in practice. Dinners and parties with friends may be tough to turn down. However, the entire process of maintaining a budget is based on discipline, and it certainly takes a significant amount of discipline to plan targets for yourself and stick to them.

A few other points to note are the changes in the Gasoline and Vacation categories. If you commute to school or work, the price of gas can have a significant impact on your budget. It is important to be realistic if gas prices are increasing, and you should reflect these increases in your budget. To compensate for the increased spending for gas, the spending plan for vacations has been reduced by 25%. Budgeting often requires a certain degree of creativity. Although the Vacation budget has been reduced, there is still money you can set aside to make plans for spring break or winter break.

Finally, the budget shows a decrease in Miscellaneous spending of 19.8%. This was defined as a group containing several expenses, such as textbooks, school supplies, software updates, and so on (see Table 2.1 “Spend Category Definitions”). You may be able to reduce your spending in this category if you can use items such as online textbooks. This reduction in spending can free up funds for Clothes, a spend category that has increased by 20%. We will continue to develop the Personal Budget workbook further in Section 2.3 “Functions for Personal Finance”.

The Fundamentals of Loans and Leases

One of the functions we will add to the Personal Budget workbook is the PMT function. This function calculates the payments required for a loan or a lease. However, before demonstrating this function, it is important to cover a few fundamental concepts on loans and leases.

A loanA contractual agreement in which money is borrowed from a lender and paid back over a specific period of time. is a contractual agreement in which money is borrowed from a lender and paid back over a specific period of time. The amount of money that is borrowed from the lender is called the principalThe amount of money borrowed from a lender. of the loan. The borrower is usually required to pay the principal of the loan plus interest. When you borrow money to buy a house, the loan is referred to as a mortgageA loan used to purchase a home or property.. This is because the house being purchased also serves as collateral to ensure payment. In other words, the bank can take possession of your house if you fail to make loan payments. As shown in Table 2.5 “Key Terms for Loans and Leases”, there are several key terms related to loans and leases.

Figure 2.29 “Example of an Amortization Table” shows an example of an amortization tableA schedule of payments broken down by interest and principal for a loan. By law, a lender is required to provide an amortization table to a borrower. for a loan. A lender is required by law to provide borrowers with an amortization table when a loan contract is offered. The table in the figure shows how the payments of a loan would work if you borrowed $100,000 from a lender and agreed to pay it back over 10 years at an interest rate of 5%. You will notice that each time you make a payment, you are paying the bank an interest fee plus some of the loan principal. Each year the amount of interest paid to the bank decreases and the amount of money used to pay off the principal increases. This is because the bank is charging you interest on the amount of principal that has not been paid. As you pay off the principal, the interest rate is applied to a lower number, which reduces your interest charges. Finally, the figure shows that the sum of the values in the Interest Payment column is $29,505. This is how much it costs you to borrow this money over 10 years. Indeed, borrowing money is not free. It is important to note that to simplify this example, the payments were calculated on an annual basis. However, most loan payments are made on a monthly basis.

A leaseA contract in which the lessee uses an asset such as a car or a piece of equipment and agrees to make regular payments to the owner or the lessor. The lessee is often required to return the leased asset to the lessor at the conclusion of the lease contract. is a contract in which you, the lessee, use an asset such as a car or a piece of equipment and you agree to make regular payments to the owner or the lessor. When you lease a car, the manufacturer or a leasing company retains ownership of the vehicle and you agree to make regular payments for a specific period of time. The amount of money you pay depends on the price of the car, the terms of the lease contract, and the car’s expected residual value at the end of the lease. The calculation of lease payments is similar to the calculation of loan payments. However, when you lease a car, you pay only the value of the car that is used. For example, suppose you are leasing a car that is priced at $25,000. The lease contract is for 4 years at an interest rate of 5%. The residual value of the car is $10,000. This means the car will lose $15,000 of its value over 4 years. Another way to state this is that the car will depreciate $15,000. A lease will be structured so that you pay this $15,000 in depreciation. However, the interest charges will be based on the purchase price of $25,000. We will look at a demonstration of leasing a car as well as buying a home in the next section.

The PMT (Payment) Function for Loans

If you own a home, your mortgage payments are a major component of your household budget. If you are planning to buy a home, having a clear understanding of your monthly payments is critical for maintaining strong financial health. In Excel, mortgage payments are conveniently calculated through the PMT (payment) function. This function is more complex than the statistical functions covered in Section 2.2 “Statistical Functions”. With statistical functions, you are required to add only a range of cells or selected cells within the parentheses of the function. With the PMT function, you must accurately define a series of arguments in order for the function to produce a reliable output. Table 2.6 “Arguments for the PMT Function” lists the arguments for the PMT function. It is helpful to review the key loan and lease terms in Table 2.5 “Key Terms for Loans and Leases” before reviewing the PMT function arguments.

We will use the PMT function in the Personal Budget workbook to calculate the monthly mortgage payments for a house. These calculations will be made in the Mortgage Payments worksheet and then displayed in the Budget Summary worksheet through a cell reference link. So far we have demonstrated several methods for adding functions to a worksheet. The following steps explain a new method using the Insert Function command for adding the PMT function:

1. Click the Mortgage Payments worksheet tab.
2. Click cell B5.
3. Click the Formulas tab on the Ribbon.

4. Click the Insert Function button (see Figure 2.30 “Mortgage Payments Worksheet”). This opens the Insert Function dialog box, which can be used for searching all functions in Excel.

   Figure 2.30 Mortgage Payments Worksheet

   

5. In the “Search for a function:” input box at the top of the Insert Function dialog box, type mortgage payments (see Figure 2.31 “Insert Function Dialog Box”). Note that the current description in the “Search for a function:” input box will already be highlighted. You can begin typing and the description will be replaced with your entry.
6. Click the Go button in the upper right side of the Insert Function dialog box. This adds all the Excel functions that match your description in the “Select a function:” box in the lower half of the Insert Function dialog box (see Figure 2.31 “Insert Function Dialog Box”).
7. Click the PMT option in the “Select a function:” box in the lower half of the Insert Function dialog box.

8. Click the OK button at the lower right side of the Insert Function dialog box. This will open the Function Arguments dialog box.

   Figure 2.31 Insert Function Dialog Box

   

   Mouseless Commands

   Insert Function

   • Hold the SHIFT key while pressing the F3 key.
9. Click the Collapse Dialog button next to the Rate argument in the Function Arguments dialog box. This will be the first argument defined for the function.
10. Click cell B3 on the worksheet. This is the rate being charged on the loan.
11. Type a forward slash (/) for division.
12. Type the number 12. Since our goal is to calculate the monthly payments for the loan, we need to divide the rate, which is stated in annual terms, by 12. This converts the annual rate to a monthly rate.
13. Press the ENTER key on your keyboard. This returns the Function Arguments dialog box to its expanded form. You will also see that the Rate argument is now defined.
14. Click the Collapse Dialog button next to the Nper argument in the Function Arguments dialog box. This is the second argument we define in the function.
15. Click cell B4 on the worksheet. This is the term or the amount of time we have to repay the loan.
16. Type an asterisk (*) for multiplication.
17. Type the number 12. Since our goal is to calculate the monthly payments for the loan, we need to multiply the terms of the loan by 12. This converts the terms of the loan from years to months.
18. Press the ENTER key on your keyboard. This returns the Function Arguments dialog box to its expanded form. You will also see that the Nper argument is now defined.
19. Click the Collapse Dialog button next to the Pv argument in the Function Arguments dialog box. This is the third argument we will define in the function.
20. Type a minus sign (−). When defining the Pv argument of the PMT function, any cell location or value must be preceded with a minus sign.
21. Click cell B2 on the worksheet. This is the principal of the loan.
22. Press the ENTER key on your keyboard. You will now see the Rate, Nper, and Pv arguments defined for the function.
23. Click the OK button at the bottom of the Function Arguments dialog box. The function will now be placed into the worksheet. Since we are not paying any lump sums of money at the end of the loan, there is no need to define the Fv argument. Also, we will assume that the monthly mortgage payments will be made at the end of each month. Therefore, there is no need to define the Type argument.

Figure 2.32 “Function Arguments Dialog Box for the PMT Function” shows the completed Function Arguments dialog box for the PMT function. Notice that the dialog box shows the values for the Rate and Nper arguments. The Rate is divided by 12 to convert the annual interest rate to a monthly interest rate. The Nper argument is multiplied by 12 to convert the terms of the loan from years to months. Finally, the dialog box provides you with a definition for each argument. The definition appears when you click in the input box for the argument.

Figure 2.33 “Mortgage Payments Worksheet with the PMT Function” shows the final appearance of the Mortgage Payments worksheet after the PMT function is added. The result of the function in cell B5 will be displayed in the Budget Summary worksheet.

The PMT (Payment) Function for Leases

In addition to calculating the mortgage payments for a home, the PMT function will be used in the Personal Budget workbook to calculate the lease payments for a car. The details for the lease payments are found in the Car Lease Payments worksheet. Similar to the statistical functions, we can type the PMT function directly into a cell. However, you must know the definitions for each argument of the function and understand how these arguments need to be defined based on your objective. The terms for loans and leases are in Table 2.5 “Key Terms for Loans and Leases”, and the definitions for the arguments of the PMT function are in Table 2.6 “Arguments for the PMT Function”. The following steps explain how the PMT function is added to the Personal Budget workbook to calculate the lease payments for a car:

1. Click cell B6 in the Car Lease Payments worksheet.
2. Type an equal sign (=).
3. Type the letters PMT.
4. Type an open parenthesis (().Excel then provides a tip box showing the arguments of the function.
5. Click cell B4. This is the interest rate being charged for the lease.
6. Type the forward slash (/) for division.
7. Type the number 12. Since our goal is to calculate the monthly lease payments, we divide the interest rate by 12 to convert the annual rate to a monthly rate.
8. Type a comma. When you type a function containing arguments, you must separate each argument with a comma. This signals to Excel that one argument has been defined and you are ready to define the next argument in the function.
9. Click cell B5. This is the term or the length of time for the lease contract. Since the term is already expressed in months, we can just reference cell B5 and move to the next argument.
10. Type a comma. This advances the function to the Pv argument.
11. Type a minus sign (−). Remember that cell locations or values used to define the Pv argument must be preceded with a minus sign.
12. Click cell B2 on the worksheet, which is the price of the car.
13. Type a comma. This advances the function to the [Fv] argument.
14. Click cell B3 on the worksheet. This is the residual value of the car. Note that cell location and values used to define the [Fv] argument are NOT preceded by a minus sign.
15. Type a comma. This advances the function to the [Type] argument.
16. Type the number 1. We will assume that the lease payments will be due at the beginning of each month.
17. Type a closing parenthesis ()).
18. Press the ENTER key.

Figure 2.34 “PMT Function Constructed to Calculate Lease Payments” shows how the PMT function should appear before pressing the ENTER key. Notice the commas that separate each argument of the function. Also, the tip box will show the current argument being defined in bold font.

Figure 2.35 “Results of the PMT Function in the Car Lease Payments Worksheet” shows the result of the PMT function. The monthly payments for this lease are $206.56. This monthly payment will be displayed in the Budget Summary worksheet.

Linking Worksheets (Creating a Summary Worksheet)

So far we have used cell references in formulas and functions, which allow Excel to produce new outputs when the values in the cell references are changed. Cell references can also be used to display values or the outputs of formulas and functions in cell locations on other worksheets. This is how data will be displayed on the Budget Summary worksheet in the Personal Budget workbook. Outputs from the formulas and functions that were entered into the Budget Detail, Mortgage Payments, and Car Lease Payments worksheets will be displayed on the Budget Summary worksheet through the use of cell references. The following steps explain how this is accomplished:

1. Click cell C3 in the Budget Summary worksheet.
2. Type an equal sign (=).
3. Click the Budget Detail worksheet tab.
4. Click cell D12 on the Budget Detail worksheet.
5. Press the ENTER key on your keyboard. The output of the SUM function in cell D12 on the Budget Detail worksheet will be displayed in cell C3 on the Budget Summary worksheet.

Figure 2.36 “Cell Reference Showing the Total Expenses in the Budget Summary Worksheet” shows how the cell reference appears in the Budget Summary worksheet. Notice that the cell reference D12 is preceded by the Budget Detail worksheet name enclosed in apostrophes followed by an exclamation point (‘Budget Detail’!) This indicates that the value displayed in the cell is referencing a cell location in the Budget Detail worksheet.

As shown in Figure 2.36 “Cell Reference Showing the Total Expenses in the Budget Summary Worksheet”, the Budget Summary worksheet is designed to show the expense budget for the mortgage payments and the auto lease payments. However, you will recall that we used the PMT function to calculate the monthly payments. In the Budget Summary worksheet, we need to show the total annual payments. As a result, we will create a formula that references cell locations in the Mortgage Payments and Car Lease Payments worksheets. The following steps explain how this is accomplished:

1. Click cell C4 in the Budget Summary worksheet.
2. Type an equal sign (=).
3. Click the Mortgage Payments worksheet tab.
4. Click cell B5 in the Mortgage Payments worksheet.
5. Type an asterisk (*) for multiplication.
6. Type the number 12. This multiplies the monthly payments by 12 to calculate the total payments required for the year.
7. Press the ENTER key on your keyboard. The value of multiplying the monthly mortgage payments by 12 is now displayed on the Budget Summary worksheet.
8. Click cell C5 on the Budget Summary worksheet.
9. Type an equal sign (=).
10. Click the Car Lease Payments worksheet tab.
11. Click cell B6 in the Car Lease Payments worksheet.
12. Type an asterisk (*) for multiplication.
13. Type the number 12. This multiplies the monthly lease payments by 12 to calculate the total payments required for the year.
14. Press the ENTER key on your keyboard. The value of multiplying the monthly lease payments by 12 is now displayed on the Budget Summary worksheet.

Figure 2.37 “Formulas Referencing Cells in Mortgage Payments and Car Lease Payments Worksheets” shows the results of creating formulas that reference cell locations in the Mortgage Payments and Car Lease Payments worksheets.

We can now add other formulas and functions to the Budget Summary worksheet that can calculate the difference between the total spend dollars vs. the total net income in cell D2. The following steps explain how this is accomplished:

1. Click cell D6 in the Budget Summary worksheet.
2. Type an equal sign (=).
3. Type the function name SUM followed by an open parenthesis (().
4. Highlight the range C3:C5.
5. Type a closing parenthesis ()) and press the ENTER key on your keyboard. The total for all annual expenses now appears on the worksheet.
6. Click cell D7 on the Budget Summary worksheet.
7. Type an equal sign (=).
8. Click cell D2.
9. Type a minus sign (−) and then click cell D6.
10. Press the ENTER key on your keyboard. This formula produces an output of $1,942, indicating our income is greater than our total expenses.

Figure 2.38 “Formulas Added to Show Income Is Greater Than Expenses” shows the results of the formulas that were added to the Budget Summary worksheet. The output for the formula in cell D7 shows that the net income exceeds total planned expenses by $1,942. Overall, having your income exceed your total expenses is a good thing because it allows you to save money for future spending needs or unexpected events.

We can now add a few formulas that calculate both the spending rate and the savings rate as a percentage of net income. These formulas require the use of absolute references, which we covered earlier in this chapter. The following steps explain how to add these formulas:

1. Click cell E6 in the Budget Summary worksheet.
2. Type an equal sign (=).
3. Click cell D6.
4. Type a forward slash (/) for division and then click D2.
5. Press the F4 key on your keyboard. This adds an absolute reference to cell D2.
6. Press the ENTER key. The result of the formula shows that total expenses consume 94.1% of our net income.
7. Click cell E6.
8. Place the mouse pointer over the Auto Fill Handle.
9. When the mouse pointer turns to a black plus sign, left click and drag down to cell E7. This copies and pastes the formula into cell E7.

Figure 2.39 “Calculating the Savings Rate” shows the output of the formulas calculating the spending rate and savings rate as a percentage of net income. The absolute reference shown for cell D2 prevents the cell from changing when the formula is copied from cell E6 and pasted into cell E7. The results of the formula show that our current budget allows for a savings rate of 5.9%. This is a fairly good savings rate. In the next section we will discuss how these savings can grow over time by exploring the time value of money concepts.

Time Value of Money Concepts

In reviewing the Budget Summary worksheet in Figure 2.39 “Calculating the Savings Rate”, you will notice that the range B9:D14 contains data that can be used to assess a savings plan. We can project how much money can be saved over a specific period of time given set contributions and a rate of return. This calculation is accomplished through the future value, or FV, function. We will use the FV function in cell D10 of the Budget Summary worksheet to calculate our savings plan projection. However, before we use the FV function, it is important to review a few basic concepts regarding the time value of money, as shown in Table 2.7 “Key Terms for Time Value of Money Concepts”.

Table 2.7 “Key Terms for Time Value of Money Concepts” provides definitions for several terms used when addressing the time value of money concepts. The time value of moneyThe opportunity to increase the value of money over time through investments that provide a constant or average positive rate of return. is the opportunity to grow your money over time given a constant or average rate of return. For example, consider the data shown in Figure 2.40 “Time Value of Money Example for a One-Time Investment”. This data assumes that a person makes a one-time investment of $100 in a bond mutual fund that returns 5% interest per year. Notice that the interest paid in Column E increases every year. This is because the interest is reinvested in the mutual fund, which increases the total value of the investment. For example, the interest earned in year 1 is based on a $100 investment. Therefore, the interest paid is $5.00, or 5% of $100. However, in year 2, when the $5.00 interest payment is reinvested, the total investment increases to $105. Therefore, in year 2 the interest paid increases to $5.25, or 5% of $105. The value of the investment at the end of 5 years is $127.63. This is the value that can be calculated using the FV function.

Figure 2.41 “Time Value of Money Example for an Annuity Investment” shows another example demonstrating the time value of money concept. Instead of making a one-time investment, we will assume that a person invests $100 at the beginning of every year in the same bond mutual fund. This is referred to as an annuityAn investment made in regular payments over a period of time. because the person is making reoccurring investments over a specific period of time. Notice that the value of this investment after 5 years is $580.19. Also, the total interest earned on this investment is $80.19 as opposed to the $27.63 earned on the one-time investment in Figure 2.40 “Time Value of Money Example for a One-Time Investment”.

The FV (Future Value) Function

Establishing a personal savings plan is one of the most important financial exercises you can do. For example, a savings plan is critical for establishing financial security for your retirement years. Many people mistakenly believe that saving for retirement is something you do when you get older. However, the greatest financial gains for your retirement can be achieved if you start saving in the earliest years of your career. Now that you have an understanding of the time value of money, you can see that the more years you can earn interest on your investments and reinvest those earnings, the more money you will have when you retire. Savings plans are also important for other key life events, such as going to college or buying a home. The FV function is a convenient tool that can help you establish savings goals and project the value of your investments over time. Similar to the PMT function, the FV function requires you to accurately define specific arguments in order to produce a reliable result. Table 2.8 “Arguments for the FV Function” provides definitions for each of the arguments in the FV function. It is helpful to review the time value of money terms in Table 2.7 “Key Terms for Time Value of Money Concepts” before using the FV function.

With respect to the Personal Budget workbook, we will use the FV function to project the value of the savings plan in 10 years. We will type the function directly into the Personal Budget worksheet for this demonstration. However, you can use any of the methods demonstrated in this chapter for future use. The following steps explain how this function is added to the worksheet:

1. Click cell D10 in the Budget Summary worksheet.
2. Type an equal sign (=).
3. Type the letters FV followed by an open parenthesis (().
4. Click cell D13. This is the expected rate of return for the investments.
5. Type a comma.
6. Click cell D12. This is the amount of time the investments are expected to grow.
7. Type a comma.
8. Type a minus sign (−). All values or cell locations used to define the Pmt argument must be preceded by a minus sign.
9. Click cell D7. This is the change in cash that was calculated by subtracting the total expenses from the net income. We are expecting to save this amount of money for the 10-year period this investment is being measured.
10. Type a comma.
11. Type a minus sign (−). All values and cell locations used to define the Pv argument must be preceded by a minus sign.
12. Click cell D14. Since the savings plan has a current balance, we use this to define the Pv argument of the function. This is equivalent to starting with a lump-sum investment.
13. Type a closing parenthesis ()). There is no need to define the last argument of the function because we will assume that the savings in cash achieved in our budget will be invested at the end of each year of the savings plan.
14. Press the ENTER key. Check that cell D11 is activated.
15. Type an equal sign (=).
16. Click cell D10.
17. Type a minus sign (−) and then click cell D9. This subtracts the savings plan from the current savings plan projection.
18. Press the ENTER key.

Figure 2.42 “Results of the Savings Plan Projections” shows the results of the FV function. Notice that the current savings plan projection is $25,606. This is $606 higher than the target of $25,000 entered into cell D9, which shows that the current budget is working to achieve the goals of this savings plan. In other words, given the current net income, we are saving enough money to achieve our savings plan goals.

There are two important factors to notice with regard to this plan. The first factor is that our spending plan allows us to save enough money so that it can be invested to achieve our target of $25,000. The second factor is that the expected rate of return is 3.5%. This is a relatively low expected rate of return and could be achieved by investing in relatively low-risk investments such as bonds as opposed to stocks. This rate can be considered good because we can achieve our savings goals without having to make high-risk investments that could result in a significant loss of our savings.

Goal Seek (What-If Scenarios)

We used several formulas and functions to complete the Personal Budget workbook shown in Figure 2.42 “Results of the Savings Plan Projections”. All the formulas and functions entered contain cell references that allow for a variety of what-if scenarios. Goal Seek is a tool that can be used in the process of conducting these what-if scenarios. Goal Seek maximizes the benefits of Excel’s cell-referencing capabilities by changing inputs to precise values to achieve specific outputs produced by formulas or functions. We will begin by changing one of the inputs in the Personal Budget workbook through the following steps:

1. Click the Budget Detail worksheet tab.
2. Click cell D9.
3. Type the number 2000. Instead of planning a decrease in our vacation spending, we will see what happens to our budget if we spend the same amount as last year, which was $2,000.
4. Press the ENTER key.

Figure 2.43 “Budget Detail Worksheet “ and Figure 2.44 “Budget Detail Worksheet “ show the Budget Detail worksheet before and after the change in the annual vacation budget. By comparing these two figures you can see that by changing just one input, many of the outputs produced by the formulas and functions in the worksheet changed. The following is a list of the changes that occurred in the worksheet:

• The formula output in cell F12 now shows that we are planning a 1.1% increase in our total spending as opposed to a −1.7% decrease.
• The formula output in cell F9 changes from −25% to 0%.
• The SUM function in cell D12 changes from $17,950 to $18,450.
• The SUM function in cell C12 changes from $1,496 to $1,538.
• The AVERAGE function in cell D14 changes from $1,994 to $2,050.

In addition to the changes in the Budget Detail worksheet, outputs of formulas and functions on the Budget Summary worksheet also change when the Annual Spend for the Vacation category was increased. To see the changes, compare Figure 2.42 “Results of the Savings Plan Projections” to Figure 2.45 “Budget Summary Worksheet “. There were a total of fourteen changes in the outputs of formulas and functions on the Budget Summary worksheet. In total, there were twenty-one outputs that changed in the Personal Budget workbook as a result of changing just one input.

One of the most notable changes on the Budget Summary worksheet is the Savings Projection in cell D10. By spending an additional $500 a year on vacation plans, the projected savings value in 10 years decreases by $5,865. However, what if the rate of return were to increase? An increase in the rate of return could recover the decrease in the future value of our savings plan. We can use a tool such as Goal Seek to determine exactly how much the rate of return would have to increase to achieve our savings plan target of $25,000. The following steps explain how to use Goal Seek to accomplish this goal:

1. Click the Budget Summary worksheet tab.
2. Click the Data tab of the Ribbon.
3. Click the What-If Analysis button in the Data Tools group of commands.

4. Click Goal Seek from the list options (see Figure 2.46 “Selecting Goal Seek from the What-If Analysis Options”). This opens the Goal Seek dialog box.

   Mouseless Commands

   Goal Seek

   • Press the Alt key on your keyboard and then the letters A, W, and G one at a time.

   Figure 2.46 Selecting Goal Seek from the What-If Analysis Options

   

5. Click the Collapse Dialog button next to the “Set cell:” input box on the Goal Seek dialog box.
6. Click cell D10 on the Budget Summary worksheet.
7. Press the ENTER key on your keyboard.
8. Place the mouse pointer over the “To value” input box in the Goal Seek dialog box and click.
9. Type the number 25000 in the “To value” input box in the Goal Seek dialog box.
10. Click the Collapse Dialog button next to the “By changing cell” input box in the Goal Seek dialog box.
11. Click cell D13 on the Budget Summary worksheet.
12. Press the ENTER key on your keyboard.
13. Click the OK button on the Goal Seek dialog box.
14. Click the OK button on the Goal Seek Status dialog box (see Figure 2.48 “Solution Calculated by Goal Seek”). The status box is telling you that Excel found a value for cell D13 that produces an output of $25,000 for the FV function in cell D10.
15. Figure 2.47 “Final Settings for the Goal Seek Dialog Box” shows the final settings for the Goal Seek dialog box before clicking the OK button.

Figure 2.48 “Solution Calculated by Goal Seek” shows the solution Goal Seek calculated for the rate of return. Notice that in order to achieve the target savings plan of $25,000, the rate of return must increase to 7.8%. Initially, it appears that we can spend the additional $500 a year on vacations and still achieve our savings goal of $25,000. However, achieving a 7.8% annual rate of return will require us to make riskier investments with our savings. Thus, there is a greater possibility that we could lose a substantial amount of our savings. This is the downside of decreasing your overall savings rate. If you save less money, it forces you to take higher risks with the money you have in order to achieve higher rates of return. Unfortunately, many people end up on the losing end of these risks, which severely compromises their ability to reach their savings goals.

Online Narrative Essay Alternatives

Sandra Cisneros offers an example of a narrative essay in Only Daughter that captures her sense of her Chicana-Mexican heritage as the only daughter in a family of seven children.

Her complete essay is available on several websites, including the following:

• http://distelrath.wikispaces.com/file/view/Only+Daughter.doc
• http://www.cabrillo.edu/academics/english/100resources/’Only%20Daughter’.pdf
• http://www.tbaisd.k12.mi.us/departments/docs_gen/pacing/ela12-6/9thGrade/9-4/Only_Daughter.pdf

Gary Shteyngart came to the United States when he was seven years old. The son of Russian Jewish parents who struggled to provide a better life for their son, he reflects on his struggles, including becoming “American,” in Sixty-Nine Cents:

• http://www.newyorker.com/reporting/2007/09/03/070903fa_fact_shteyngart?printable=true#ixzz0pihck7DS
• http://www.america.gov/st/peopleplace-english/2009/February/20090213084900mlenuhret0.8106806.html

Sherman Alexie grew up on the Spokane Reservation in Washington State. He chronicles his challenges in school, starting in first grade, in Indian Education:

• http://comosr.spps.org/Alexie.html
• http://www.forsyth.k12.ga.us/132320728102659810/lib/132320728102659810/_files/Alexie,_Sherman_-_Indian_Education_TEXT.rtf
• http://www.pfeonyx.com/alliance/IndianCollection/Alexie2.pdf

Online Illustration Essay Alternatives

Lewis Thomas provides several illustrative examples in On Natural Death:

• http://thefloatinglibrary.com/2009/03/05/on-natural-death-lewis-thomas

Jessica Bennett, a senior writer for Newsweek, offers an example of an illustration essay when she presents The Flip Side of Internet Fame:

• http://www.newsweek.com/2008/02/21/the-flip-side-of-internet-fame.html

Online Descriptive Essay Alternatives

Susan Berne visits New York and describes her impressions in Where Nothing Says Everything, also called Ground Zero:

• http://thepurpleenglishteacher.files.wordpress.com/2010/10/groundzero.pdf
• http://www.nytimes.com/2002/04/21/travel/where-nothing-says-everything.html

Heather Rogers provides a detailed description (book excerpt) of a landfill that challenges the reader to consider his or her own consumption and waste in The Hidden Life of Garbage:

• http://www.alternet.org/story/27116
• http://books.google.com/books?id=efUymAhM_tAC&pg=PA12&lpg=PA12&dq= the+hidden+life+of+garbage+by+heather+rogers+%22in+the+dark+chill+of+early+ morning%22&source=bl&ots=7c4hoFLhTp&sig=ngecGSS27blb9zoy8wLaJX8la_o&hl= en&ei=Vi7xTKDKG4zSsAP2hdGtCw&sa=X&oi=book_result&ct=result&resnum= 1&ved=0CBgQ6AEwAA#v=onepage&q&f=false

Online Classification Essay Alternatives

Amy Tan describes relationship with her heritage, her mother, and her languages in Mother Tongue:

• http://www.scribd.com/doc/13297165/Mother-Tongue-By-Amy-Tan-I-Am-Not-A
• http://learning.swc.hccs.edu/members/donna.gordon/sum-2010-engl-1301-5-wk-crn-33454/1301-reading-block-crn-33454/Tan_Mother%20Tongue.pdf
• http://teachers.sduhsd.k12.ca.us/mcunningham/grapes/mother%20tounge.pdf

Jonathan Koppell discusses anonymity, your name, and how the Internet has changed in On the Internet, There’s No Place to Hide:

• http://www.newamerica.net/publications/articles/2000/on_the_internet_theres_no_place_to_hide

Online Process Analysis Essay Alternatives:

Stanley Fish, a professor of humanities and law at Florida International University, tells us why Getting Coffee Is Hard to Do:

• http://www.nytimes.com/2007/08/06/opinion/06iht-edfish.1.7000425.html
• http://opinionator.blogs.nytimes.com/2007/08/04/getting-coffee-is-hard-to-do

Arthur Miller takes a humorous look at a gruesome process in Get It Right: Privatize Executions:

• http://www.davidglensmith.com/lonestar/1301/PDFs/miller.pdf
• http://www.nytimes.com/1992/05/08/opinion/get-it-right-privatize-executions.html
• http://api.ning.com/files/-3HiJ651xE-rSj4Q4WeH-*f0NQJGyoXgI8AR*3Rat-AyxVuVAgEE bfbuyGbTu9gpi7z3gT4jqd52W3fBsDRfFGgEgLxB5wO4/GetItRight.PrivatizeExecutionsArthurMiller.pdf

Online Definition Essay Alternatives

Judy Brady provides a humorous look at responsibilities and relationships in I Want a Wife:

• http://www.columbia.edu/~sss31/rainbow/wife.html
• http://bcs.bedfordstmartins.com/everythingsanargument4e/content/cat_020/Brady_I_Want_a_Wife.pdf

Gayle Rosenwald Smith shares her dislike of the name for a sleeveless T-shirt, The Wife-Beater:

• http://www.usd305.com/212720101692451310/lib/212720101692451310/20100429123836146.pdf

Philip Levine defines What Work Is:

• http://www.ibiblio.org/ipa/poems/levine/what_work_is.php
• http://www.poemhunter.com/poem/what-work-is

Online Compare-and-Contrast Essay Alternatives

Ellen Laird compares and contrasts traditional and distance education in I’m Your Teacher, Not Your Internet-Service Provider:

• http://eec.edc.org/cwis_docs/NEWS_ARTICLES_JOURNALS/Laird_Ellen.pdf
• http://celt.cui.edu/celt/webct_for_instructors/Laird_Article.htm
• http://depedia.com/mediawiki/index.php?title=I%27m_your_teacher%2C_not_your_Internet-Service_Provider

Deborah Tannen compares and contrasts conversation styles in Sex, Lies and Conversation: Why Is It So Hard for Men and Women to Talk to Each Other?

• http://www9.georgetown.edu/faculty/tannend/sexlies.htm

Alex Wright examines communication patterns, old and new, in Friending, Ancient or Otherwise:

• http://www.nytimes.com/2007/12/02/weekinreview/02wright.html

Online Cause-and-Effective Essay Alternatives

Norman Cousins examines cause and effect in boxing in Who Killed Benny Paret?

• http://ecmd.nju.edu.cn/UploadFile/6/2552/wb2427.doc

Lawrence Otis Graham examines racism, and whether it has changed since the 1970s, in The “Black Table” Is Still There:

• http://scremeens.googlepages.com/TheBlackTableessay.rtf

Robin Tolmach Lakoff discusses the power of language to dehumanize in From Ancient Greece to Iraq: The Power of Words in Wartime:

• http://www.nytimes.com/2004/05/18/science/essay-from-ancient-greece-to-iraq-the-power-of-words-in-wartime.html

Alan Weisman examines the human impact on the planet and its effects in Earth without People:

• http://discovermagazine.com/2005/feb/earth-without-people

Online Persuasive Essay Alternatives

Martin Luther King Jr. writes persuasively about civil disobedience in Letter from Birmingham Jail:

• http://www.stanford.edu/group/King/frequentdocs/birmingham.pdf
• http://web.cn.edu/kwheeler/documents/Letter_Birmingham_Jail.pdf
• http://www.oak-tree.us/stuff/King-Birmingham.pdf

Michael Levin argues The Case for Torture:

• http://people.brandeis.edu/~teuber/torture.html
• http://www.canyons.edu/departments/philosophy/levin.html

Alan Dershowitz argues The Case for Torture Warrants:

• http://www.alandershowitz.com/publications/docs/torturewarrants.html

Alisa Solomon argues The Case against Torture:

• http://www.villagevoice.com/2001-11-27/news/the-case-against-torture/1

Getting Started: Identifying and Organizing Key Ideas

To deliver a successful presentation, you need to develop content suitable for an effective presentation. Your ideas make up your presentation, but to deliver them effectively, you will need to identify key ideas and organize them carefully. Read the following considerations, which will help you first identify and then organize key ideas:

• Be concise. You will include the most important ideas and leave out others. Some concepts may need to be simplified.
• Employ more than one medium of expression. You should incorporate other media, such as charts, graphs, photographs, video or audio recordings, or websites.
• Prepare for a face-to-face presentation. If you must deliver a face-to-face presentation, it is important to project yourself as a serious and well-informed speaker. You will often speak extemporaneously, or in a rehearsed but not memorized manner, which allows for flexibility given the context or audience. You will need to know your points and keep your audience engaged.

Use an Outline to Organize Ideas

After you determine which ideas are most appropriate for your presentation, you will create an outline of those ideas. Your presentation, like a written assignment, should include an introduction, body, and conclusion. These components serve much the same purpose as they do in a written assignment.

• The introduction engages the audience’s attention, introduces the topic, and sets the tone for what is to come.
• The body develops your point of view with supporting ideas, details, and examples presented in a logical order.
• The conclusion restates your point of view, sums up your main points, and leaves your audience with something to think about.

Jorge, who wrote the research paper featured in Chapter 11 “Writing from Research: What Will I Learn?”, developed the following outline. Jorge relied heavily on this outline to plan his presentation, but he adjusted it to suit the new format.

Planning Your Introduction

In Chapter 12 “Writing a Research Paper”, you learned techniques for writing an interesting introduction, such as beginning with a surprising fact or statistic, a thought-provoking question or quotation, a brief anecdote that illustrates a larger concept or connects your topic to your audience’s experiences. You can use these techniques effectively in presentations as well. You might also consider actively engaging your audience by having members respond to questions or complete a brief activity related to your topic. For example, you may have your audience respond to a survey or tell about an experience related to your topic.

Incorporating media can also be an effective way to get your audience’s attention. Visual images such as a photograph or a cartoon can invoke an immediate emotional response. A graph or chart can highlight startling findings in research data or statistical information. Brief video or audio clips that clearly reinforce your message and do not distract or overwhelm your audience can provide a sense of immediacy when you plan to discuss an event or a current issue. A PowerPoint presentation allows you to integrate many of these different media sources into one presentation.

Tip

With the accessibility provided by the Internet, you can find interesting and appropriate audio and video with little difficulty. However, the clip alone will not sustain the presentation. To keep the audience interested and engaged, you must frame the beginning and end of the clip with your own words.

Jorge completed the introduction part of his outline by listing the key points he would use to open his presentation. He also planned to show various web links early on to illustrate the popularity of the low-carbohydrate diet trend.

Planning the Body of Your Presentation

The next step is to work with the key ideas you identified earlier. Determine the order in which you want to present these ideas, and flesh them out with important details. Chapter 10 “Rhetorical Modes” discusses several organizational structures you might work with, such as chronological order, comparison-and-contrast structure, or cause-and-effect structure.

How much detail you include will depend on the time allotted for your presentation. Your instructor will most likely give you a specific time limit or a specific slide limit, such as eight to ten slides. If the time limit is very brief (two to three minutes, for instance), you will need to focus on communicating your point of view, main supporting points, and only the most relevant details. Three minutes can feel like an eternity if you are speaking before a group, but the time will pass very quickly. It is important to use it well.

If you have more time to work with—ten minutes or half an hour—you will be able to discuss your topic in greater detail. More time also means you must devote more thought into how you will hold your audience’s interest. If your presentation is longer than five minutes, introduce some variety so the audience is not bored. Incorporate multimedia, invite the audience to complete an activity, or set aside time for a question-and-answer session.

Jorge was required to limit his presentation to five to seven minutes. In his outline, he made a note about where he would need to condense some complicated material to stay within his time limit. He also decided to focus only on cholesterol and heart disease in his discussion of long-term health outcomes. The research on other issues was inconclusive, so Jorge decided to omit this material. Jorge’s notes on his outline show the revisions he has made to his presentation.

Tip

You are responsible for using your presentation time effectively to inform your audience. You show respect for your audience by following the expected time limit. However, that does not mean you must fill all of that time with talk if you are giving a face-to-face presentation. Involving your audience can take some of the pressure off you while also keeping them engaged. Have them respond to a few brief questions to get them thinking. Display a relevant photograph, document, or object and ask your classmates to comment. In some presentations, if time allows, you may choose to have your classmates complete an individual or group activity.

Planning Your Conclusion

The conclusion should briefly sum up your main idea and leave your audience with something to think about. As in a written paper, you are essentially revisiting your thesis. Depending on your topic, you may also ask the audience to reconsider their thinking about an issue, to take action, or to think about a related issue. If you presented an attention-getting fact or anecdote in your introduction, consider revisiting it in your conclusion. Just as you have learned about an essay’s conclusion, do not add new content to the presentation’s conclusion.

No matter how you choose to structure your conclusion, make sure it is well planned so that you are not tempted to wrap up your presentation too quickly. Inexperienced speakers, in a face-to-face presentation, sometimes rush through the end of a presentation to avoid exceeding the allotted time or to end the stressful experience of presenting in public. Unfortunately, a hurried conclusion makes the presentation as a whole less memorable.

Tip

Time management is the key to delivering an effective presentation whether it is face-to-face or in PowerPoint. As you develop your outline, think about the amount of time you will devote to each section. For instance, in a five-minute face-to-face presentation, you might plan to spend one minute on the introduction, three minutes on the body, and one minute on the conclusion. Later, when you rehearse, you can time yourself to determine whether you need to adjust your content or delivery.

In a PowerPoint presentation, it is important that your presentation is visually stimulating, avoids information overload by limiting the text per slide, uses speaker notes effectively, and uses a font that is visible on the background (e.g., avoid white letters on a light background or black letters on a dark background).

Exercise 2

Work with the list you created in Note 14.4 “Exercise 1” to develop a more complete outline for your presentation. Make sure your outline includes the following:

• An introduction that uses strategies to capture your audience’s attention
• A body section that summarizes your main points and supporting details
• A conclusion that will help you end on a memorable note
• Brief notes about how much time you plan to spend on each part of the presentation (you may adjust the timing later as needed)

Identifying Opportunities to Incorporate Visual and Audio Media

You may already have some ideas for how to incorporate visual and audio media in your presentation. If not, review your outline and begin thinking about where to include media. Presenting information in a variety of formats will help you keep your audience’s interest.

Planning Ahead: Annotating Your Presentation

When you make a presentation, you are giving a performance of sorts. It may not be as dramatic as a play or a movie, but it requires smooth coordination of several elements—your words, your gestures, and any media you include. One way to ensure that the performance goes smoothly is to annotateTo add comments or notes to a document. your presentation ahead of time.

To annotate means to add comments or notes to a document. You can use this technique to plan how the different parts of your presentation will flow together. For instance, if you are working with slides, add notes to your outline indicating when you will show each slide. If you have other visual or audio media to include, make a note of that, too. Be as detailed as necessary. Jotting “Start video at 3:14” can spare you the awkwardness of searching for the right clip during your presentation.

In a face-to-face presentation, make sure your final annotated outline is easy to read. It will serve to cue you during your presentation, so it does not need to look polished, as long as it is clear to you. Double space the text. Use a larger-than-normal font size (14 or 16 points) if that will make it easier for you to read. Boldface or italics will set off text that should be emphasized or delivered with greater emotion. Write out main points, as well as your opening and closing remarks, in complete sentences, along with any material you want to quote verbatim. Use shorter phrases for supporting details. Using your speaker notes effectively will help you deliver an effective presentation. Highlighting, all capital letters, or different-colored font will help you easily distinguish notes from the text of your speech. Read Jorge’s annotated outline.

Using Visual Aids: The Basics

Good writers make conscious choices. They understand their purpose and audience. Every decision they make on the page, from organizing an essay to choosing a word with just the right connotations, is made with their purpose and audience in mind.

The same principle applies to visual communication. As a presenter, you choose the following:

• When to show images or video for maximum impact
• Which images will best produce the effect you want
• When to present information using a table, chart, or other graphic
• How much text to include in slides or informational graphics
• How to organize graphics so they present information clearly

Your goal is to use visual media to support and enhance your presentation. At the same time, you must make sure these media do not distract your audience or interfere with getting your point across. Your ideas, not your visuals, should be the focus.

As you develop the visual side of your presentation, you will follow a process much like the process you follow when you write. You will brainstorm ideas, form an organizational plan, develop drafts, and then refine and edit your work. The following sections provide guidelines to help you make good decisions throughout the process.

Creating Original Visual Aids

You will include original visual aids in your presentation to add interest, present complex information or data more clearly, or appeal to your audience’s emotions. You may wish to create some visual aids by hand—for instance, by mounting photographs on poster board for display. More likely, however, you will use computer-generated graphics.

Computer-generated visual aids are easy to create once you learn how to use certain office software. They also offer greater versatility. You can print hard copies and display them large or include them in a handout for your audience. Or, if you are working with presentation software, you can simply insert the graphics in your slides.

Regardless of how you proceed, keep the following guidelines in mind:

• Create visual aids with purpose. Think carefully about how they will enhance your message, and choose a form that is appropriate for your content.
• Strive for quality. You do not need the skills of a professional photographer or designer, but do take time to make sure your visual aids are neat, attractive, and legible. Proofread for errors, too.

Using Existing Visual Media

Depending on your topic, you may be able to find images and other graphics you can use instead of creating your own. For instance, you might use photographs from a reputable news source or informational graphics created by a government agency. If you plan to use visual aids created by others, keep the following guidelines in mind:

• Set a purpose before you begin your search. You will search more efficiently if you start with a general idea of what you are looking for—a line graph of unemployment rates for the past twelve months, for example, or a video clip of the most recent State of the Union address.
• Filter out visual aids that are not relevant. You may come across eye-catching graphics and be tempted to use them even if they are only loosely related to your topic, simply because they are attention getting. Resist the temptation. If the graphic is not clearly connected to your point, it does not belong in your presentation.
• Read carefully. In addition to reading labels, headings, and captions, read any text that accompanies the visual. Make sure you understand the visual in its original context. For informational graphics, make sure you understand exactly what information is being represented. (This may seem obvious, but it is easy to misread graphic information. Take the time to examine it carefully.)
• Evaluate sources carefully and record source information. When you look for visual media to complement your presentation, you are conducting research. Apply the same standards you used for your research paper. Choose reliable sources, such as reputable news organizations, government and nonprofit organizations, and educational institutions. Verify data in additional sources. Finally, be sure to document all source information as you proceed.

What Makes a Speaker Effective?

Think about times you have been part of the audience for a speech, lecture, or other presentation. You have probably noticed how certain traits and mannerisms work to engage you and make the experience enjoyable. Effective speakers project confidence and interest in both their audience and their subject matter. They present ideas clearly and come across as relaxed but in control.

In contrast, less effective speakers may seem anxious or, worse, apathetic. They may be difficult to hear or understand, or their body language may distract from their message. They have trouble making a connection with their audience. This can happen even when the speaker knows his or her material and has prepared effective visual aids.

In both cases, two factors contribute to your overall impression of the speaker: voice and body language. The following sections discuss specific points to focus on.

Rehearsing Your Presentation and Making Final Preparations

Practice is essential if you want your presentation to be effective. Speaking in front of a group is a complicated task because there are so many components to stay on top of—your words, your visual aids, your voice, and your body language. If you are new to public speaking, the task can feel like juggling eggs while riding a unicycle. With experience, it gets easier, but even experienced speakers benefit from practice.

Take the time to rehearse your presentation more than once. Each time you go through it, pick another element to refine. For instance, once you are comfortable with the overall verbal content, work on integrating your visuals. Then focus on your vocal delivery and your body language. Multiple practice sessions will help you integrate all of these components into a smooth, effective presentation.

Practice in front of another person (or a small group) at least once. Practicing with a test audience will help you grow accustomed to interacting with other people as you talk, and it will give you a chance to get feedback from someone else’s perspective. Your audience can help you identify areas to improve.

Just as important as identifying areas for improvement, your audience can encourage you not to be too hard on yourself. When preparing for an oral presentation, many people are their own worst critics. They are hyperconscious of any flaws in their presentation, real or imagined. A test audience can provide honest feedback from a neutral observer who can provide support and constructive critique.

Coping with Public-Speaking Anxiety

The tips in this chapter should help you reduce any nervousness you may feel about public speaking. Although most people are a little anxious about talking to a group, the task usually becomes less intimidating with experience and practice.

Preparation and practice are the best defenses against public-speaking anxiety. If you have made a serious effort to prepare and rehearse, you can be confident that your efforts will pay off. If you still feel shaky, try the following strategies:

• Take care of your health. In the days leading up to your presentation, make sure you get plenty of sleep and eat right. Exercise to help cope with tension. Avoid caffeine if it makes you jittery.
• Use relaxation techniques such as meditation, deep breathing, and stretching to help you feel calm and focused on the day of your presentation.
• Visualize yourself giving a successful presentation. Image yourself succeeding. It will make you feel more confident.
• Put things into perspective. What is the worst that could happen if anything went wrong? Many people have given less-than-perfect presentations and lived to tell about it! Of course, you should make your best effort, but if something does go wrong, you can use it as a learning experience.
• Understand that you may not be able to overcome your nervousness completely. Feeling a little anxious can help you stay alert and focused. If you do not feel confident, try to “fake it until you make it.”

General Formatting Guidelines

This chapter provides detailed guidelines for using the citation and formatting conventions developed by the American Psychological Association, or APA. Writers in disciplines as diverse as astrophysics, biology, psychology, and education follow APA style. The major components of a paper written in APA style are listed in the following box.

Title Page

The title page of your paper includes the following information:

• Title of the paper
• Author’s name
• Name of the institution with which the author is affiliated
• Header at the top of the page with the paper title (in capital letters) and the page number (If the title is lengthy, you may use a shortened form of it in the header.)

List the first three elements in the order given in the previous list, centered about one third of the way down from the top of the page. Use the headers and footers tool of your word-processing program to add the header, with the title text at the left and the page number in the upper-right corner. Your title page should look like the following example.

Abstract

The next page of your paper provides an abstractA concise (one hundred to one hundred fifty words) summary of research findings that appears at the beginning of an APA-style paper., or brief summary of your findings. An abstract does not need to be provided in every paper, but an abstract should be used in papers that include a hypothesis. A good abstract is concise—about one hundred to one hundred fifty words—and is written in an objective, impersonal style. Your writing voice will not be as apparent here as in the body of your paper. When writing the abstract, take a just-the-facts approach, and summarize your research question and your findings in a few sentences.

In Chapter 12 “Writing a Research Paper”, you read a paper written by a student named Jorge, who researched the effectiveness of low-carbohydrate diets. Read Jorge’s abstract. Note how it sums up the major ideas in his paper without going into excessive detail.

Exercise 1

Write an abstract summarizing your paper. Briefly introduce the topic, state your findings, and sum up what conclusions you can draw from your research. Use the word count feature of your word-processing program to make sure your abstract does not exceed one hundred fifty words.

Tip

Depending on your field of study, you may sometimes write research papers that present extensive primary research, such as your own experiment or survey. In your abstract, summarize your research question and your findings, and briefly indicate how your study relates to prior research in the field.

Margins, Pagination, and Headings

APA style requirements also address specific formatting concerns, such as margins, pagination, and heading styles, within the body of the paper. Review the following APA guidelines.

Use these general guidelines to format the paper:

1. Set the top, bottom, and side margins of your paper at 1 inch.
2. Use double-spaced text throughout your paper.
3. Use a standard font, such as Times New Roman or Arial, in a legible size (10- to 12-point).
4. Use continuous pagination throughout the paper, including the title page and the references section. Page numbers appear flush right within your header.
5. Section headings and subsection headings within the body of your paper use different types of formatting depending on the level of information you are presenting. Additional details from Jorge’s paper are provided.

Exercise 2

Begin formatting the final draft of your paper according to APA guidelines. You may work with an existing document or set up a new document if you choose. Include the following:

• Your title page
• The abstract you created in Note 13.8 “Exercise 1”
• Correct headers and page numbers for your title page and abstract

Headings

APA style uses section headingsHeadings used to organize information within an APA-style paper. APA style provides formatting guidelines for five levels of section and subsection headings; however, most college research papers require only one or two heading levels. to organize information, making it easy for the reader to follow the writer’s train of thought and to know immediately what major topics are covered. Depending on the length and complexity of the paper, its major sections may also be divided into subsections, sub-subsections, and so on. These smaller sections, in turn, use different heading styles to indicate different levels of information. In essence, you are using headings to create a hierarchy of information.

The following heading styles used in APA formatting are listed in order of greatest to least importance:

1. Section headings use centered, boldface type. Headings use title case, with important words in the heading capitalized.
2. Subsection headings use left-aligned, boldface type. Headings use title case.
3. The third level uses left-aligned, indented, boldface type. Headings use a capital letter only for the first word, and they end in a period.
4. The fourth level follows the same style used for the previous level, but the headings are boldfaced and italicized.
5. The fifth level follows the same style used for the previous level, but the headings are italicized and not boldfaced.

Visually, the hierarchy of information is organized as indicated in Table 13.1 “Section Headings”.

Table 13.1 Section Headings

Level of Information	Text Example
Level 1	Heart Disease
Level 2	Lifestyle Factors That Reduce Heart Disease Risk
Level 3	Exercising regularly.
Level 4	Aerobic exercise.
Level 5	Country line dancing.

A college research paper may not use all the heading levels shown in Table 13.1 “Section Headings”, but you are likely to encounter them in academic journal articles that use APA style. For a brief paper, you may find that level 1 headings suffice. Longer or more complex papers may need level 2 headings or other lower-level headings to organize information clearly. Use your outline to craft your major section headings and determine whether any subtopics are substantial enough to require additional levels of headings.

Exercise 3

Working with the document you developed in Note 13.11 “Exercise 2”, begin setting up the heading structure of the final draft of your research paper according to APA guidelines. Include your title and at least two to three major section headings, and follow the formatting guidelines provided above. If your major sections should be broken into subsections, add those headings as well. Use your outline to help you.

Because Jorge used only level 1 headings, his Exercise 3 would look like the following:

Level of Information	Text Example
Level 1	Purported Benefits of Low-Carbohydrate Diets
Level 1	Research on Low-Carbohydrate Diets and Weight Loss
Level 1	Other Long-Term Health Outcomes
Level 1	Conclusion

Citation Guidelines

References List

The brief citations included in the body of your paper correspond to the more detailed citations provided at the end of the paper in the references section. In-text citations provide basic information—the author’s name, the publication date, and the page number if necessary—while the references section provides more extensive bibliographical information. Again, this information allows your reader to follow up on the sources you cited and do additional reading about the topic if desired.

The specific format of entries in the list of references varies slightly for different source types, but the entries generally include the following information:

• The name(s) of the author(s) or institution that wrote the source
• The year of publication and, where applicable, the exact date of publication
• The full title of the source
• For books, the city of publication
• For articles or essays, the name of the periodical or book in which the article or essay appears
• For magazine and journal articles, the volume number, issue number, and pages where the article appears
• For sources on the web, the URL where the source is located

The references page is double spaced and lists entries in alphabetical order by the author’s last name. If an entry continues for more than one line, the second line and each subsequent line are indented five spaces. Review the following example. (Chapter 13 “APA and MLA Documentation and Formatting”, Section 13.3 “Creating a References Section” provides extensive guidelines for formatting reference entries for different types of sources.)

Tip

In APA style, book and article titles are formatted in sentence case, not title case. Sentence case means that only the first word is capitalized, along with any proper nouns.

Key Takeaways

• Following proper citation and formatting guidelines helps writers ensure that their work will be taken seriously, give proper credit to other authors for their work, and provide valuable information to readers.
• Working ahead and taking care to cite sources correctly the first time are ways writers can save time during the editing stage of writing a research paper.
• APA papers usually include an abstract that concisely summarizes the paper.
• APA papers use a specific headings structure to provide a clear hierarchy of information.
• In APA papers, in-text citations usually include the name(s) of the author(s) and the year of publication.
• In-text citations correspond to entries in the references section, which provide detailed bibliographical information about a source.

Formatting Cited Material: The Basics

As noted in previous sections of this book, in-text citations usually provide the name of the author(s) and the year the source was published. For direct quotations, the page number must also be included. Use past-tense verbs when introducing a quote—“Smith found…” and not “Smith finds.…”

Formatting In-Text Citations for Other Source Types

These sections discuss the correct format for various types of in-text citations. Read them through quickly to get a sense of what is covered, and then refer to them again as needed.

Formatting the References Section: The Basics

At this stage in the writing process, you may already have begun setting up your references section. This section may consist of a single page for a brief research paper or may extend for many pages in professional journal articles. As you create this section of your paper, follow the guidelines provided here.

Formatting Reference Entries

Reference entries should include the following information:

• The name of the author(s)
• The year of publication and, where applicable, the exact date of publication
• The full title of the source
• For books, the city of publication
• For articles or essays, the name of the periodical or book in which the article or essay appears
• For magazine and journal articles, the volume number, issue number, and pages where the article appears
• For sources on the web, the URL where the source is located

See the following examples for how to format a book or journal article with a single author.

Sample Book Entry

Sample Journal Article Entry

The following box provides general guidelines for formatting the reference page. For the remainder of this chapter, you will learn about how to format bibliographical entries for different source types, including multiauthor and electronic sources.

Formatting the References Section: APA General Guidelines

1. Include the heading References, centered at the top of the page. The heading should not be boldfaced, italicized, or underlined.
2. Use double-spaced type throughout the references section, as in the body of your paper.
3. Use hanging indentation for each entry. The first line should be flush with the left margin, while any lines that follow should be indented five spaces. Note that hanging indentation is the opposite of normal indenting rules for paragraphs.
4. List entries in alphabetical order by the author’s last name. For a work with multiple authors, use the last name of the first author listed.
5. List authors’ names using this format: Smith, J. C.
6. For a work with no individual author(s), use the name of the organization that published the work or, if this is unavailable, the title of the work in place of the author’s name.

7. For works with multiple authors, follow these guidelines:

   • For works with up to seven authors, list the last name and initials for each author.
   • For works with more than seven authors, list the first six names, followed by ellipses, and then the name of the last author listed.
   • Use an ampersand before the name of the last author listed.
8. Use title case for journal titles. Capitalize all important words in the title.

9. Use sentence case for all other titles—books, articles, web pages, and other source titles. Capitalize the first word of the title. Do not capitalize any other words in the title except for the following:

   • Proper nouns
   • First word of a subtitle
   • First word after a colon or dash
10. Use italics for book and journal titles. Do not use italics, underlining, or quotation marks for titles of shorter works, such as articles.

Exercise 1

Set up the first page of your references section and begin adding entries, following the APA formatting guidelines provided in this section.

1. If there are any simple entries that you can format completely using the general guidelines, do so at this time.
2. For entries you are unsure of how to format, type in as much information as you can, and highlight the entries so you can return to them later.

Formatting Reference Entries for Different Source Types

As is the case for in-text citations, formatting reference entries becomes more complicated when you are citing a source with multiple authors, citing various types of online media, or citing sources for which you must provide additional information beyond the basics listed in the general guidelines. The following guidelines show how to format reference entries for these different situations.

Print Sources: Books

For book-length sources and shorter works that appear in a book, follow the guidelines that best describes your source.

A Book by Two or More Authors

List the authors’ names in the order they appear on the book’s title page. Use an ampersand before the last author’s name.

Campbell, D. T., & Stanley, J. C. (1963). Experimental and quasi-experimental designs for research. Boston, MA: Houghton Mifflin.

An Edited Book with No Author

List the editor or editors’ names in place of the author’s name, followed by Ed. or Eds. in parentheses.

Myers, C., & Reamer, D. (Eds.). (2009). 2009 nutrition index. San Francisco, CA: HealthSource, Inc.

An Edited Book with an Author

List the author’s name first, followed by the title and the editor or editors. Note that when the editor is listed after the title, you list the initials before the last name.

Tip

The previous example shows the format used for an edited book with one author—for instance, a collection of a famous person’s letters that has been edited. This type of source is different from an anthology, which is a collection of articles or essays by different authors. For citing works in anthologies, see the guidelines later in this section.

A Translated Book

Include the translator’s name after the title, and at the end of the citation, list the date the original work was published. Note that for the translator’s name, you list the initials before the last name.

Freud, S. (1965). New introductory lectures on psycho-analysis (J. Strachey, Trans.). New York, NY: W. W. Norton. (Original work published 1933).

A Book Published in Multiple Editions

If you are using any edition other than the first edition, include the edition number in parentheses after the title.

A Chapter in an Edited Book

List the name of the author(s) who wrote the chapter, followed by the chapter title. Then list the names of the book editor(s) and the title of the book, followed by the page numbers for the chapter and the usual information about the book’s publisher.

A Work That Appears in an Anthology

Follow the same process you would use to cite a book chapter, substituting the article or essay title for the chapter title.

An Article in a Reference Book

List the author’s name if available; if no author is listed, provide the title of the entry where the author’s name would normally be listed. If the book lists the name of the editor(s), include it in your citation. Indicate the volume number (if applicable) and page numbers in parentheses after the article title.

Two or More Books by the Same Author

List the entries in order of their publication year, beginning with the work published first.

Swedan, N. (2001). Women’s sports medicine and rehabilitation. Gaithersburg, MD: Aspen Publishers.

Swedan, N. (2003). The active woman’s health and fitness handbook. New York, NY: Perigee.

If two books have multiple authors, and the first author is the same but the others are different, alphabetize by the second author’s last name (or the third or fourth, if necessary).

Carroll, D., & Aaronson, F. (2008). Managing type II diabetes. Chicago, IL: Southwick Press.

Carroll, D., & Zuckerman, N. (2008). Gestational diabetes. Chicago, IL: Southwick Press.

Books by Different Authors with the Same Last Name

Alphabetize entries by the authors’ first initial.

A Book Authored by an Organization

Treat the organization name as you would an author’s name. For the purposes of alphabetizing, ignore words like The in the organization’s name. (That is, a book published by the American Heart Association would be listed with other entries whose authors’ names begin with A.)

American Psychiatric Association. (1994). Diagnostic and statistical manual of mental disorders DSM-IV (4th ed.). Arlington, VA: American Psychiatric Publishing.

A Book-Length Report

Format technical and research reports as you would format other book-length sources. If the organization that issued the report assigned it a number, include the number in parentheses after the title. (See also the guidelines provided for citing works produced by government agencies.)

Jameson, R., & Dewey, J. (2009). Preliminary findings from an evaluation of the president’s physical fitness program in Pleasantville school district. Pleasantville, WA: Pleasantville Board of Education.

A Book Authored by a Government Agency

Treat these as you would a book published by a nongovernment organization, but be aware that these works may have an identification number listed. If so, include it in parentheses after the publication year.

U.S. Census Bureau. (2002). The decennial censuses from 1790 to 2000 (Publication No. POL/02-MA). Washington, DC: US Government Printing Offices.

Exercise 2

Revisit the references section you began to compile in Note 13.73 “Exercise 1”. Use the guidelines provided to format any entries for book-length print sources that you were unable to finish earlier.

Review how Jorge formatted these book-length print sources:

Atkins, R. C. (2002). Dr. Atkins’ diet revolution. New York, NY: M. Evans and Company.

Agatson, A. (2003). The South Beach diet. New York, NY: St. Martin’s Griffin.

Print Sources: Periodicals

An Article in a Scholarly Journal

Include the following information:

• Author or authors’ names
• Publication year
• Article title (in sentence case, without quotation marks or italics)
• Journal title (in title case and in italics)
• Volume number (in italics)
• Issue number (in parentheses)
• Page number(s) where the article appears

DeMarco, R. F. (2010). Palliative care and African American women living with HIV. Journal of Nursing Education, 49(5), 1–4.

An Article in a Journal Paginated by Volume

In these types of journals, page numbers for one volume continue across all the issues in that volume. For instance, the winter issue may begin with page 1, and in the spring issue that follows, the page numbers pick up where the previous issue left off. (If you have ever wondered why a print journal did not begin on page 1, or wondered why the page numbers of a journal extend into four digits, this is why.) Omit the issue number from your reference entry.

Wagner, J. (2009). Rethinking school lunches: A review of recent literature. American School Nurses’ Journal, 47, 1123–1127.

An Abstract of a Scholarly Article

At times you may need to cite an abstract—the summary that appears at the beginning—of a published article. If you are citing the abstract only, and it was published separately from the article, provide the following information:

• Publication information for the article
• Information about where the abstract was published (for instance, another journal or a collection of abstracts)

A Journal Article with Two to Seven Authors

List all the authors’ names in the order they appear in the article. Use an ampersand before the last name listed.

Barker, E. T., & Bornstein, M. H. (2010). Global self-esteem, appearance satisfaction, and self-reported dieting in early adolescence. Journal of Early Adolescence, 30(2), 205–224.

Tremblay, M. S., Shields, M., Laviolette, M., Craig, C. L., Janssen, I., & Gorber, S. C. (2010). Fitness of Canadian children and youth: Results from the 2007–2009 Canadian Health Measures Survey. Health Reports, 21(1), 7–20.

A Journal Article with More Than Seven Authors

List the first six authors’ names, followed by a comma, an ellipsis, and the name of the last author listed. The article in the following example has sixteen listed authors; the reference entry lists the first six authors and the sixteenth, omitting the seventh through the fifteenth.

Writing at Work

The idea of an eight-page article with sixteen authors may seem strange to you—especially if you are in the midst of writing a ten-page research paper on your own. More often than not, articles in scholarly journals list multiple authors. Sometimes, the authors actually did collaborate on writing and editing the published article. In other instances, some of the authors listed may have contributed to the research in some way while being only minimally involved in the process of writing the article. Whenever you collaborate with colleagues to produce a written product, follow your profession’s conventions for giving everyone proper credit for their contribution.

A Magazine Article

After the publication year, list the issue date. Otherwise, treat these as you would journal articles. List the volume and issue number if both are available.

A Newspaper Article

Treat these as you would magazine and journal articles, with one important difference: precede the page number(s) with the abbreviation p. (for a single-page article) or pp. (for a multipage article). For articles whose pagination is not continuous, list all the pages included in the article. For example, an article that begins on page A1 and continues on pages A4 would have the page reference A1, A4. An article that begins on page A1 and continues on pages A4 and A5 would have the page reference A1, A4–A5.

A Letter to the Editor

After the title, indicate in brackets that the work is a letter to the editor.

Jones, J. (2009, January 31). Food police in our schools [Letter to the editor]. Rockwood Gazette, p. A8.

A Review

After the title, indicate in brackets that the work is a review and state the name of the work being reviewed. (Note that even if the title of the review is the same as the title of the book being reviewed, as in the following example, you should treat it as an article title. Do not italicize it.)

Exercise 3

Revisit the references section you began to compile in Note 13.73 “Exercise 1”. Use the guidelines provided above to format any entries for periodicals and other shorter print sources that you were unable to finish earlier.

Electronic Sources

Citing Articles from Online Periodicals: URLs and Digital Object Identifiers (DOIs)

Whenever you cite online sources, it is important to provide the most up-to-date information available to help readers locate the source. In some cases, this means providing an article’s URLA uniform resource locator, or web address. Writers may provide URLs to help readers locate information that was accessed online. Guidelines for whether to provide a deep link within a site or a general link to the homepage or index vary depending on the type of online source., or web address. (The letters URL stand for uniform resource locator.) Always provide the most complete URL possible. Provide a link to the specific article used, rather than a link to the publication’s homepage.

As you know, web addresses are not always stable. If a website is updated or reorganized, the article you accessed in April may move to a different location in May. The URL you provided may become a dead link. For this reason, many online periodicals, especially scholarly publications, now rely on DOIs rather than URLs to keep track of articles.

A DOIDigital Object Identifier, an identification code provided for some online documents, typically articles in scholarly journals. DOIs are more stable than URLs, so they should be included in reference entries when available. is a Digital Object Identifier—an identification code provided for some online documents, typically articles in scholarly journals. Like a URL, its purpose is to help readers locate an article. However, a DOI is more stable than a URL, so it makes sense to include it in your reference entry when possible. Follow these guidelines:

• If you are citing an online article with a DOI, list the DOI at the end of the reference entry.
• If the article appears in print as well as online, you do not need to provide the URL. However, include the words Electronic version after the title in brackets.
• In other respects, treat the article as you would a print article. Include the volume number and issue number if available. (Note, however, that these may not be available for some online periodicals).

An Article from an Online Periodical with a DOI

List the DOI if one is provided. There is no need to include the URL if you have listed the DOI.

Bell, J. R. (2006). Low-carb beats low-fat diet for early losses but not long term. OBGYN News, 41(12), 32. doi:10.1016/S0029-7437(06)71905-X

An Article from an Online Periodical with No DOI

List the URL. Include the volume and issue number for the periodical if this information is available. (For some online periodicals, it may not be.)

Note that if the article appears in a print version of the publication, you do not need to list the URL, but do indicate that you accessed the electronic version.

Robbins, K. (2010, March/April). Nature’s bounty: A heady feast [Electronic version]. Psychology Today, 43(2), 58.

A Newspaper Article

Provide the URL of the article.

McNeil, D. G. (2010, May 3). Maternal health: A new study challenges benefits of vitamin A for women and babies. The New York Times. Retrieved from http://www.nytimes.com/2010/05/04/health/04glob.html?ref=health

An Article Accessed through a Database

Cite these articles as you would normally cite a print article. Provide database information only if the article is difficult to locate.

Tip

APA style does not require writers to provide the item number or accession number for articles retrieved from databases. You may choose to do so if the article is difficult to locate or the database is an obscure one. Check with your professor to see if this is something he or she would like you to include.

An Abstract of an Article

Format these as you would an article citation, but add the word Abstract in brackets after the title.

Bradley, U., Spence, M., Courtney, C. H., McKinley, M. C., Ennis, C. N., McCance, D. R.…Hunter, S. J. (2009). Low-fat versus low-carbohydrate weight reduction diets: Effects on weight loss, insulin resistance, and cardiovascular risk: A randomized control trial [Abstract]. Diabetes, 58(12), 2741–2748. http://diabetes.diabetesjournals.org/content/early/2009/08/23/db00098.abstract

A Nonperiodical Web Document

The ways you cite different nonperiodical web documents may vary slightly from source to source, depending on the information that is available. In your citation, include as much of the following information as you can:

• Name of the author(s), whether an individual or organization
• Date of publication (Use n.d. if no date is available.)
• Title of the document
• Address where you retrieved the document

If the document consists of more than one web page within the site, link to the homepage or the entry page for the document.

American Heart Association. (2010). Heart attack, stroke, and cardiac arrest warning signs. Retrieved from http://www.americanheart.org/presenter.jhtml?identifier=3053

An Entry from an Online Encyclopedia or Dictionary

Because these sources often do not include authors’ names, you may list the title of the entry at the beginning of the citation. Provide the URL for the specific entry.

Addiction. (n.d.) In Merriam-Webster’s online dictionary. Retrieved from http://www.merriam-webster.com/dictionary/addiction

Data Sets

If you cite raw data compiled by an organization, such as statistical data, provide the URL where you retrieved the information. Provide the name of the organization that sponsors the site.

US Food and Drug Administration. (2009). Nationwide evaluation of X-ray trends: NEXT surveys performed [Data file]. Retrieved from http://www.fda.gov/Radiation-EmittingProducts/RadiationSafety/NationwideEvaluationofX- RayTrendsNEXT/ucm116508.htm

Graphic Data

When citing graphic data—such as maps, pie charts, bar graphs, and so on—include the name of the organization that compiled the information, along with the publication date. Briefly describe the contents in brackets. Provide the URL where you retrieved the information. (If the graphic is associated with a specific project or document, list it after your bracketed description of the contents.)

US Food and Drug Administration. (2009). [Pie charts showing the percentage breakdown of the FDA’s budget for fiscal year 2005]. 2005 FDA budget summary. Retrieved from mhttp://www.fda.gov/AboutFDA/ReportsManualsForms/Reports/BudgetReports/2005FDABudgetSummary/ucm117231.htm

An Online Interview (Audio File or Transcript)

List the interviewer, interviewee, and date. After the title, include bracketed text describing the interview as an “Interview transcript” or “Interview audio file,” depending on the format of the interview you accessed. List the name of the website and the URL where you retrieved the information. Use the following format.

Davies, D. (Interviewer), & Pollan, M. (Interviewee). (2008). Michael Pollan offers president food for thought [Interview transcript]. Retrieved from National Public Radio website: http://www.npr.org/templates/transcript/transcript.php?storyId=100755362

An Electronic Book

Electronic books may include books available as text files online or audiobooks. If an electronic book is easily available in print, cite it as you would a print source. If it is unavailable in print (or extremely difficult to find), use the format in the example. (Use the words Available from in your citation if the book must be purchased or is not available directly.)

Chisholm, L. (n.d.). Celtic tales. Retrieved from http://www.childrenslibrary.org/icdl/BookReader?bookid= chicelt_00150014&twoPage=false&route=text&size=0&fullscreen=false&pnum1=1&lang= English&ilang=English

A Chapter from an Online Book or a Chapter or Section of a Web Document

These are treated similarly to their print counterparts with the addition of retrieval information. Include the chapter or section number in parentheses after the book title.

Hart, A. M. (1895). Restoratives—Coffee, cocoa, chocolate. In Diet in sickness and in health (VI). Retrieved from http://www.archive.org/details/dietinsicknessin00hartrich

A Dissertation or Thesis from a Database

Provide the author, date of publication, title, and retrieval information. If the work is numbered within the database, include the number in parentheses at the end of the citation.

Computer Software

For commonly used office software and programming languages, it is not necessary to provide a citation. Cite software only when you are using a specialized program, such as the nutrition tracking software in the following example. If you download software from a website, provide the version and the year if available.

Internet Brands, Inc. (2009). FitDay PC (Version 2) [Software]. Available from http://www.fitday.com/Pc/PcHome.html?gcid=14

A Post on a Blog or Video Blog

Citation guidelines for these sources are similar to those used for discussion forum postings. Briefly describe the type of source in brackets after the title.

Writing at Work

Because the content may not be carefully reviewed for accuracy, discussion forums and blogs should not be relied upon as a major source of information. However, it may be appropriate to cite these sources for some types of research. You may also participate in discussion forums or comment on blogs that address topics of personal or professional interest. Always keep in mind that when you post, you are making your thoughts public—and in many cases, available through search engines. Make sure any posts that can easily be associated with your name are appropriately professional, because a potential employer could view them.

A Television or Radio Broadcast

Include the name of the producer or executive producer; the date, title, and type of broadcast; and the associated company and location.

West, Ty. (Executive producer). (2009, September 24). PBS special report: Health care reform [Television broadcast]. New York, NY, and Washington, DC: Public Broadcasting Service.

A Television or Radio Series or Episode

Include the producer and the type of series if you are citing an entire television or radio series.

Couture, D., Nabors, S., Pinkard, S., Robertson, N., & Smith, J. (Producers). (1979). The Diane Rehm show [Radio series]. Washington, DC: National Public Radio.

To cite a specific episode of a radio or television series, list the name of the writer or writers (if available), the date the episode aired, its title, and the type of series, along with general information about the series.

Bernanke, J., & Wade, C. (2010, January 10). Hummingbirds: Magic in the air [Television series episode]. In F. Kaufman (Executive producer), Nature. New York, NY: WNET.

A Motion Picture

Name the director or producer (or both), year of release, title, country of origin, and studio.

Spurlock, M. (Director/producer), Morley, J. (Executive producer), & Winters. H. M. (Executive producer). (2004). Super size me. United States: Kathbur Pictures in association with Studio on Hudson.

A Recording

Name the primary contributors and list their role. Include the recording medium in brackets after the title. Then list the location and the label.

Smith, L. W. (Speaker). (1999). Meditation and relaxation [CD]. New York, NY: Earth, Wind, & Sky Productions.

Székely, I. (Pianist), Budapest Symphony Orchestra (Performers), & Németh, G. (Conductor). (1988). Chopin piano concertos no. 1 and 2 [CD]. Hong Kong: Naxos.

A Podcast

Provide as much information as possible about the writer, director, and producer; the date the podcast aired; its title; any organization or series with which it is associated; and where you retrieved the podcast.

Kelsey, A. R. (Writer), Garcia, J. (Director), & Kim, S. C. (Producer). (2010, May 7). Lies food labels tell us. Savvy consumer podcasts [Audio podcast]. Retrieved from http://www.savvyconsumer.org/podcasts/050710

Exercise 4

Revisit the references section you began to compile in Note 13.73 “Exercise 1”.

1. Use the APA guidelines provided in this section to format any entries for electronic sources that you were unable to finish earlier.
2. If your sources include a form of media not covered in the APA guidelines here, consult with a writing tutor or review a print or online reference book. You may wish to visit the website of the American Psychological Association at http://www.apa.org or the Purdue University Online Writing lab at http://owl.english.purdue.edu, which regularly updates its online style guidelines.
3. Give your paper a final edit to check the references section.

Key Takeaways

• In APA papers, entries in the references section include as much of the following information as possible:

  • Print sources. Author(s), date of publication, title, publisher, page numbers (for shorter works), editors (if applicable), and periodical title (if applicable).
  • Online sources (text-based). Author(s), date of publication, title, publisher or sponsoring organization, and DOI or URL (if applicable).
  • Electronic sources (non-text-based). Provide details about the creator(s) of the work, title, associated company or series, and date the work was produced or broadcast. The specific details provided will vary depending on the medium and the information that is available.
  • Electronic sources (text-based). If an electronic source is also widely available in print form, it is sometimes unnecessary to provide details about how to access the electronic version. Check the guidelines for the specific source type.

General MLA List

1. Use standard white paper (8.5 × 11 inches).
2. Double space the essay and quotes.
3. Use Times New Roman 12-point font.
4. Use one-inch margins on all sides
5. Indent paragraphs (five spaces or 1.5 inches).
6. Include consecutive page numbers in the upper-right corner.
7. Use italics to indicate a title, as in Writing for Success.
8. On the first page, place your name, course, date, and instructor’s name in the upper-left corner.
9. On the first page, place the title centered on the page, with no bold or italics and all words capitalized.
10. On all pages, place the header, student’s name + one space + page number, 1.5 inches from the top, aligned on the right.

Title Block Format

You never get a second chance to make a first impression, and your title block (not a separate title page; just a section at the top of the first page) makes an impression on the reader. If correctly formatted with each element of information in its proper place, form, and format, it says to the reader that you mean business, that you are a professional, and that you take your work seriously, so it should, in turn, be seriously considered. Your title block in MLA style contributes to your credibility. Remember that your writing represents you in your absence, and the title block is the tailored suit or outfit that represents you best. That said, sometimes a separate title page is necessary, but it is best both to know how to properly format a title block or page in MLA style and to ask your instructor if it is included as part of the assignment.

Paragraphs and Indentation

Make sure you indent five spaces (from the left margin). You’ll see that the indent offsets the beginning of a new paragraph. We use paragraphs to express single ideas or topics that reinforce our central purpose or thesis statement. Paragraphs include topic sentences, supporting sentences, and conclusion or transitional sentences that link paragraphs together to support the main focus of the essay.

Tables and Illustrations

Place tables and illustrations as close as possible to the text they reinforce or complement. Here’s an example of a table in MLA.

This example demonstrates that the words that you write and the tables, figures, illustrations, or images that you include should be next to each other in your paper.

Parenthetical Citations

You must cite your sources as you use them. In the same way that a table or figure should be located right next to the sentence that discusses it (see the previous example), parenthetical citations, or citations enclosed in parenthesis that appear in the text, are required. You need to cite all your information. If someone else wrote it, said it, drew it, demonstrated it, or otherwise expressed it, you need to cite it. The exception to this statement is common, widespread knowledge. For example, if you search online for MLA resources, and specifically MLA sample papers, you will find many similar discussions on MLA style. MLA is a style and cannot be copyrighted because it is a style, but the seventh edition of the MLA Handbook can be copyright protected. If you reference a specific page in that handbook, you need to indicate it. If you write about a general MLA style issue that is commonly covered or addressed in multiple sources, you do not. When in doubt, reference the specific resource you used to write your essay.

Your in-text, or parenthetical, citations should do the following:

• Clearly indicate the specific sources also referenced in the works cited
• Specifically identify the location of the information that you used
• Keep the citation clear and concise, always confirming its accuracy

Works Cited Page

After the body of your paper comes the works cited page. It features the reference sources used in your essay. List the sources alphabetically by last name, or list them by title if the author is not known as is often the case of web-based articles. You will find links to examples of the works cited page in several of the sample MLA essays at the end of this section.

As a point of reference and comparison to our APA examples, let’s examine the following three citations and the order of the information needed.

Useful Sources of Examples of MLA Style

• Arizona State University Libraries offers an excellent resource with clear examples.

  • http://libguides.asu.edu/content.php?pid=122697&sid=1132964

• Purdue Online Writing Lab includes sample pages and works cited.

  • http://owl.english.purdue.edu/owl/resource/747/01

• California State University–Sacramento’s Online Writing Lab has an excellent visual description and example of an MLA paper.

  • http://www.csus.edu/owl/index/mla/mla_format.htm

• SUNY offers an excellent, brief, side-by-side comparison of MLA and APA citations.

  • http://www.sunywcc.edu/LIBRARY/research/MLA_APA_08.03.10.pdf

• Cornell University Library provides comprehensive MLA information on its Citation Management website.

  • http://www.library.cornell.edu/resrch/citmanage/mla

• The University of Kansas Writing Center is an excellent resource.

  • http://www.writing.ku.edu/guides

The Structure of a Research Paper

Research papers generally follow the same basic structure: an introduction that presents the writer’s thesis, a body section that develops the thesis with supporting points and evidence, and a conclusion that revisits the thesis and provides additional insights or suggestions for further research.

Your writing voice will come across most strongly in your introduction and conclusion, as you work to attract your readers’ interest and establish your thesis. These sections usually do not cite sources at length. They focus on the big picture, not specific details. In contrast, the body of your paper will cite sources extensively. As you present your ideas, you will support your points with details from your research.

Using Source Material in Your Paper

One of the challenges of writing a research paper is successfully integrating your ideas with material from your sources. Your paper must explain what you think, or it will read like a disconnected string of facts and quotations. However, you also need to support your ideas with research, or they will seem insubstantial. How do you strike the right balance?

You have already taken a step in the right direction by writing your introduction. The introduction and conclusion function like the frame around a picture. They define and limit your topic and place your research in context.

In the body paragraphs of your paper, you will need to integrate ideas carefully at the paragraph level and at the sentence level. You will use topic sentences in your paragraphs to make sure readers understand the significance of any facts, details, or quotations you cite. You will also include sentences that transition between ideas from your research, either within a paragraph or between paragraphs. At the sentence level, you will need to think carefully about how you introduce paraphrased and quoted material.

Earlier you learned about summarizing, paraphrasing, and quoting when taking notes. In the next few sections, you will learn how to use these techniques in the body of your paper to weave in source material to support your ideas.

Documenting Source Material

Throughout the writing process, be scrupulous about documenting information taken from sources. The purpose of doing so is twofold:

1. To give credit to other writers or researchers for their ideas
2. To allow your reader to follow up and learn more about the topic if desired

You will cite sources within the body of your paper and at the end of the paper in your bibliography. For this assignment, you will use the citation format used by the American Psychological Association (also known as APA style). For information on the format used by the Modern Language Association (MLA style), see Chapter 13 “APA and MLA Documentation and Formatting”.

Using Primary and Secondary Research

As you write your draft, be mindful of how you are using primary and secondary source material to support your points. Recall that primary sources present firsthand information. Secondary sources are one step removed from primary sources. They present a writer’s analysis or interpretation of primary source materials. How you balance primary and secondary source material in your paper will depend on the topic and assignment.

Avoiding Plagiarism

Your research paper presents your thinking about a topic, supported and developed by other people’s ideas and information. It is crucial to always distinguish between the two—as you conduct research, as you plan your paper, and as you write. Failure to do so can lead to plagiarism.

Academic Integrity

The concepts and strategies discussed in this section of Chapter 12 “Writing a Research Paper” connect to a larger issue—academic integrity. You maintain your integrity as a member of an academic community by representing your work and others’ work honestly and by using other people’s work only in legitimately accepted ways. It is a point of honor taken seriously in every academic discipline and career field.

Academic integrity violations have serious educational and professional consequences. Even when cheating and plagiarism go undetected, they still result in a student’s failure to learn necessary research and writing skills. Students who are found guilty of academic integrity violations face consequences ranging from a failing grade to expulsion from the university. Employees may be fired for plagiarism and do irreparable damage to their professional reputation. In short, it is never worth the risk.

Revising Your Paper: Organization and Cohesion

When writing a research paper, it is easy to become overly focused on editorial details, such as the proper format for bibliographical entries. These details do matter. However, before you begin to address them, it is important to spend time reviewing and revising the content of the paper.

A good research paper is both organized and cohesive. OrganizationIn writing, a quality that describes the paper proceeding logically from the introduction to the body paragraphs to the conclusion. means that your argument flows logically from one point to the next. CohesionIn writing, a quality that describes the elements of a paper working together smoothly and naturally. means that the elements of your paper work together smoothly and naturally. In a cohesive research paper, information from research is seamlessly integrated with the writer’s ideas.

Revise to Improve Organization

When you revise to improve organization, you look at the flow of ideas throughout the essay as a whole and within individual paragraphs. You check to see that your essay moves logically from the introduction to the body paragraphs to the conclusion, and that each section reinforces your thesis. Use Checklist 12.1 to help you.

Checklist 12.1

Revision: Organization

At the essay level

• Does my introduction proceed clearly from the opening to the thesis?
• Does each body paragraph have a clear main idea that relates to the thesis?
• Do the main ideas in the body paragraphs flow in a logical order? Is each paragraph connected to the one before it?
• Do I need to add or revise topic sentences or transitions to make the overall flow of ideas clearer?
• Does my conclusion summarize my main ideas and revisit my thesis?

At the paragraph level

• Does the topic sentence clearly state the main idea?
• Do the details in the paragraph relate to the main idea?
• Do I need to recast any sentences or add transitions to improve the flow of sentences?

Jorge reread his draft paragraph by paragraph. As he read, he highlighted the main idea of each paragraph so he could see whether his ideas proceeded in a logical order. For the most part, the flow of ideas was clear. However, he did notice that one paragraph did not have a clear main idea. It interrupted the flow of the writing. During revision, Jorge added a topic sentence that clearly connected the paragraph to the one that had preceded it. He also added transitions to improve the flow of ideas from sentence to sentence.

Read the following paragraphs twice, the first time without Jorge’s changes, and the second time with them.

Exercise 1

Follow these steps to begin revising your paper’s overall organization.

1. Print out a hard copy of your paper.
2. Read your paper paragraph by paragraph. Highlight your thesis and the topic sentence of each paragraph.
3. Using the thesis and topic sentences as starting points, outline the ideas you presented—just as you would do if you were outlining a chapter in a textbook. Do not look at the outline you created during prewriting. You may write in the margins of your draft or create a formal outline on a separate sheet of paper.
4. Next, reread your paper more slowly, looking for how ideas flow from sentence to sentence. Identify places where adding a transition or recasting a sentence would make the ideas flow more logically.
5. Review the topics on your outline. Is there a logical flow of ideas? Identify any places where you may need to reorganize ideas.
6. Begin to revise your paper to improve organization. Start with any major issues, such as needing to move an entire paragraph. Then proceed to minor revisions, such as adding a transitional phrase or tweaking a topic sentence so it connects ideas more clearly.

Collaboration

Please share your paper with a classmate. Repeat the six steps and take notes on a separate piece of paper. Share and compare notes.

Tip

Writers choose transitions carefully to show the relationships between ideas—for instance, to make a comparison or elaborate on a point with examples. Make sure your transitions suit your purpose and avoid overusing the same ones. For an extensive list of transitions, see Chapter 8 “The Writing Process: How Do I Begin?”, Section 8.4 “Revising and Editing”.

Revise to Improve Cohesion

When you revise to improve cohesion, you analyze how the parts of your paper work together. You look for anything that seems awkward or out of place. Revision may involve deleting unnecessary material or rewriting parts of the paper so that the out-of-place material fits in smoothly.

In a research paper, problems with cohesion usually occur when a writer has trouble integrating source material. If facts or quotations have been awkwardly dropped into a paragraph, they distract or confuse the reader instead of working to support the writer’s point. Overusing paraphrased and quoted material has the same effect. Use Checklist 12.2 to review your essay for cohesion.

Checklist 12.2

Revision: Cohesion

• Does the opening of the paper clearly connect to the broader topic and thesis? Make sure entertaining quotes or anecdotes serve a purpose.
• Have I included support from research for each main point in the body of my paper?
• Have I included introductory material before any quotations? Quotations should never stand alone in a paragraph.
• Does paraphrased and quoted material clearly serve to develop my own points?
• Do I need to add to or revise parts of the paper to help the reader understand how certain information from a source is relevant?
• Are there any places where I have overused material from sources?
• Does my conclusion make sense based on the rest of the paper? Make sure any new questions or suggestions in the conclusion are clearly linked to earlier material.

As Jorge reread his draft, he looked to see how the different pieces fit together to prove his thesis. He realized that some of his supporting information needed to be integrated more carefully and decided to omit some details entirely. Read the following paragraph, first without Jorge’s revisions and then with them.

Jorge decided that his comment about pizza and birthday cake came across as subjective and was not necessary to make his point, so he deleted it. He also realized that the quotation at the end of the paragraph was awkward and ineffective. How would his readers know who Kwon was or why her opinion should be taken seriously? Adding an introductory phrase helped Jorge integrate this quotation smoothly and establish the credibility of his source.

Exercise 2

Follow these steps to begin revising your paper to improve cohesion.

1. Print out a hard copy of your paper, or work with your printout from Note 12.33 “Exercise 1”.
2. Read the body paragraphs of your paper first. Each time you come to a place that cites information from sources, ask yourself what purpose this information serves. Check that it helps support a point and that it is clearly related to the other sentences in the paragraph.
3. Identify unnecessary information from sources that you can delete.
4. Identify places where you need to revise your writing so that readers understand the significance of the details cited from sources.
5. Skim the body paragraphs once more, looking for any paragraphs that seem packed with citations. Review these paragraphs carefully for cohesion.
6. Review your introduction and conclusion. Make sure the information presented works with ideas in the body of the paper.
7. Revise the places you identified in your paper to improve cohesion.

Collaboration

Please exchange papers with a classmate. Complete step four. On a separate piece of paper, note any areas that would benefit from clarification. Return and compare notes.

Writing at Work

Understanding cohesion can also benefit you in the workplace, especially when you have to write and deliver a presentation. Speakers sometimes rely on cute graphics or funny quotations to hold their audience’s attention. If you choose to use these elements, make sure they work well with the substantive content of your presentation. For example, if you are asked to give a financial presentation, and the financial report shows that the company lost money, funny illustrations would not be relevant or appropriate for the presentation.

Using a Consistent Style and Tone

Once you are certain that the content of your paper fulfills your purpose, you can begin revising to improve styleThe unique way a writer uses language, which encompasses choices about sentence structure and word selection. and toneIn writing, the attitude a writer conveys toward the subject and the audience.. Together, your style and tone create the voice of your paper, or how you come across to readers. Style refers to the way you use language as a writer—the sentence structures you use and the word choices you make. Tone is the attitude toward your subject and audience that you convey through your word choice.

Keeping Your Style Consistent

As you revise your paper, make sure your style is consistent throughout. Look for instances where a word, phrase, or sentence just does not seem to fit with the rest of the writing. It is best to reread for style after you have completed the other revisions so that you are not distracted by any larger content issues. Revising strategies you can use include the following:

• Read your paper aloud. Sometimes your ears catch inconsistencies that your eyes miss.
• Share your paper with another reader whom you trust to give you honest feedback. It is often difficult to evaluate one’s own style objectively—especially in the final phase of a challenging writing project. Another reader may be more likely to notice instances of wordiness, confusing language, or other issues that affect style and tone.
• Line-edit your paper slowly, sentence by sentence. You may even wish to use a sheet of paper to cover everything on the page except the paragraph you are editing—that forces you to read slowly and carefully. Mark any areas where you notice problems in style or tone, and then take time to rework those sections.

On reviewing his paper, Jorge found that he had generally used an appropriately academic style and tone. However, he noticed one glaring exception—his first paragraph. He realized there were places where his overly informal writing could come across as unserious or, worse, disparaging. Revising his word choice and omitting a humorous aside helped Jorge maintain a consistent tone. Read his revisions.

Exercise 3

Using Checklist 12.3, line-edit your paper. You may use either of these techniques:

1. Print out a hard copy of your paper, or work with your printout from Note 12.33 “Exercise 1”. Read it line by line. Check for the issues noted on Checklist 12.3, as well as any other aspects of your writing style you have previously identified as areas for improvement. Mark any areas where you notice problems in style or tone, and then take time to rework those sections.
2. If you prefer to work with an electronic document, use the menu options in your word-processing program to enlarge the text to 150 or 200 percent of the original size. Make sure the type is large enough that you can focus on only one paragraph at a time. Read the paper line by line as described in step 1. Highlight any areas where you notice problems in style or tone, and then take time to rework those sections.

Collaboration

Please exchange papers with a classmate. On a separate piece of paper, note places where the essay does not seem to flow or you have questions about what was written. Return the essay and compare notes.

Editing Your Paper

After revising your paper to address problems in content or style, you will complete one final editorial review. Perhaps you already have caught and corrected minor mistakes during previous revisions. Nevertheless, give your draft a final edit to make sure it is error-free. Your final edit should focus on two broad areas:

1. Errors in grammar, mechanics, usage, and spelling
2. Errors in citing and formatting sources

For in-depth information on these two topics, see Chapter 2 “Writing Basics: What Makes a Good Sentence?” and Chapter 13 “APA and MLA Documentation and Formatting”.

Checking Citations and Formatting

When editing a research paper, it is also important to check that you have cited sources properly and formatted your document according to the specified guidelines. There are two reasons for this. First and foremost, citing sources correctly ensures that you have given proper credit to other people for ideas and information that helped you in your work. Second, using correct formatting establishes your paper as one student’s contribution to the work developed by and for a larger academic community. Increasingly, American Psychological Association (APA) style guidelines are the standard for many academic fields. Modern Language Association (MLA) is also a standard style in many fields. Use Checklist 12.5 to help you check citations and formatting.

Checklist 12.5

Citations and Formatting

• Within the body of my paper, each fact or idea taken from a source is credited to the correct source.
• Each in-text citation includes the source author’s name (or, where applicable, the organization name or source title) and year of publication. I have used the correct format of in-text and parenthetical citations.
• Each source cited in the body of my paper has a corresponding entry in the references section of my paper.
• My references section includes a heading and double-spaced, alphabetized entries.
• Each entry in my references section is indented on the second line and all subsequent lines.
• Each entry in my references section includes all the necessary information for that source type, in the correct sequence and format.
• My paper includes a title page.
• My paper includes a running head.
• The margins of my paper are set at one inch. Text is double spaced and set in a standard 12-point font.

For detailed guidelines on APA and MLA citation and formatting, see Chapter 13 “APA and MLA Documentation and Formatting”.

Writing at Work

Following APA or MLA citation and formatting guidelines may require time and effort. However, it is good practice for learning how to follow accepted conventions in any professional field. Many large corporations create a style manual with guidelines for editing and formatting documents produced by that corporation. Employees follow the style manual when creating internal documents and documents for publication.

During the process of revising and editing, Jorge made changes in the content and style of his paper. He also gave the paper a final review to check for overall correctness and, particularly, correct APA or MLA citations and formatting. Read the final draft of his paper.

Key Takeaways

• Organization in a research paper means that the argument proceeds logically from the introduction to the body to the conclusion. It flows logically from one point to the next. When revising a research paper, evaluate the organization of the paper as a whole and the organization of individual paragraphs.
• In a cohesive research paper, the elements of the paper work together smoothly and naturally. When revising a research paper, evaluate its cohesion. In particular, check that information from research is smoothly integrated with your ideas.
• An effective research paper uses a style and tone that are appropriately academic and serious. When revising a research paper, check that the style and tone are consistent throughout.
• Editing a research paper involves checking for errors in grammar, mechanics, punctuation, usage, spelling, citations, and formatting.

Reasons for Research

When you perform research, you are essentially trying to solve a mystery—you want to know how something works or why something happened. In other words, you want to answer a question that you (and other people) have about the world. This is one of the most basic reasons for performing research.

But the research process does not end when you have solved your mystery. Imagine what would happen if a detective collected enough evidence to solve a criminal case, but she never shared her solution with the authorities. Presenting what you have learned from research can be just as important as performing the research. Research results can be presented in a variety of ways, but one of the most popular—and effective—presentation forms is the research paperA composition that presents an original thesis about a topic and develops that thesis with information gathered from a variety of sources.. A research paper presents an original thesis, or purpose statement, about a topic and develops that thesis with information gathered from a variety of sources.

If you are curious about the possibility of life on Mars, for example, you might choose to research the topic. What will you do, though, when your research is complete? You will need a way to put your thoughts together in a logical, coherent manner. You may want to use the facts you have learned to create a narrative or to support an argument. And you may want to show the results of your research to your friends, your teachers, or even the editors of magazines and journals. Writing a research paper is an ideal way to organize thoughts, craft narratives or make arguments based on research, and share your newfound knowledge with the world.

Steps of the Research Writing Process

How does a research paper grow from a folder of brainstormed notes to a polished final draft? No two projects are identical, but most projects follow a series of six basic steps.

These are the steps in the research writing process:

1. Choose a topic.
2. Plan and schedule time to research and write.
3. Conduct research.
4. Organize research and ideas.
5. Draft your paper.
6. Revise and edit your paper.

Each of these steps will be discussed in more detail later in this chapter. For now, though, we will take a brief look at what each step involves.

Choosing a Topic

When you choose a topic for a research paper, you are making a major commitment. Your choice will help determine whether you enjoy the lengthy process of research and writing—and whether your final paper fulfills the assignment requirements. If you choose your topic hastily, you may later find it difficult to work with your topic. By taking your time and choosing carefully, you can ensure that this assignment is not only challenging but also rewarding.

Writers understand the importance of choosing a topic that fulfills the assignment requirements and fits the assignment’s purpose and audience. (For more information about purpose and audience, see Chapter 6 “Writing Paragraphs: Separating Ideas and Shaping Content”.) Choosing a topic that interests you is also crucial. You instructor may provide a list of suggested topics or ask that you develop a topic on your own. In either case, try to identify topics that genuinely interest you.

After identifying potential topic ideas, you will need to evaluate your ideas and choose one topic to pursue. Will you be able to find enough information about the topic? Can you develop a paper about this topic that presents and supports your original ideas? Is the topic too broad or too narrow for the scope of the assignment? If so, can you modify it so it is more manageable? You will ask these questions during this preliminary phase of the research process.

Identifying Potential Topics

Sometimes, your instructor may provide a list of suggested topics. If so, you may benefit from identifying several possibilities before committing to one idea. It is important to know how to narrow down your ideas into a concise, manageable thesis. You may also use the list as a starting point to help you identify additional, related topics. Discussing your ideas with your instructor will help ensure that you choose a manageable topic that fits the requirements of the assignment.

In this chapter, you will follow a writer named Jorge, who is studying health care administration, as he prepares a research paper. You will also plan, research, and draft your own research paper.

Jorge was assigned to write a research paper on health and the media for an introductory course in health care. Although a general topic was selected for the students, Jorge had to decide which specific issues interested him. He brainstormed a list of possibilities.

Tip

If you are writing a research paper for a specialized course, look back through your notes and course activities. Identify reading assignments and class discussions that especially engaged you. Doing so can help you identify topics to pursue.

Exercise 1

Set a timer for five minutes. Use brainstorming or idea mapping to create a list of topics you would be interested in researching for a paper about the influence of the Internet on social networking. Do you closely follow the media coverage of a particular website, such as Twitter? Would you like to learn more about a certain industry, such as online dating? Which social networking sites do you and your friends use? List as many ideas related to this topic as you can.

Narrowing Your Topic

Once you have a list of potential topics, you will need to choose one as the focus of your essay. You will also need to narrow your topic. Most writers find that the topics they listed during brainstorming or idea mapping are broad—too broad for the scope of the assignment. Working with an overly broad topic, such as sexual education programs or popularized diets, can be frustrating and overwhelming. Each topic has so many facets that it would be impossible to cover them all in a college research paper. However, more specific choices, such as the pros and cons of sexual education in kids’ television programs or the physical effects of the South Beach diet, are specific enough to write about without being too narrow to sustain an entire research paper.

A good research paper provides focused, in-depth information and analysis. If your topic is too broad, you will find it difficult to do more than skim the surface when you research it and write about it. Narrowing your focusThe process of identifying a specific angle from which to approach a broad topic in order to limit it and make it more manageable. is essential to making your topic manageable. To narrow your focus, explore your topic in writing, conduct preliminary research, and discuss both the topic and the research with others.

Exploring Your Topic in Writing

“How am I supposed to narrow my topic when I haven’t even begun researching yet?” In fact, you may already know more than you realize. Review your list and identify your top two or three topics. Set aside some time to explore each one through freewriting. (For more information about freewriting, see Chapter 8 “The Writing Process: How Do I Begin?”.) Simply taking the time to focus on your topic may yield fresh angles.

Jorge knew that he was especially interested in the topic of diet fads, but he also knew that it was much too broad for his assignment. He used freewriting to explore his thoughts so he could narrow his topic. Read Jorge’s ideas.

Conducting Preliminary Research

Another way writers may focus a topic is to conduct preliminary researchResearch conducted early in the writing process for the purpose of exploring a topic and narrowing the focus.. Like freewriting, exploratory reading can help you identify interesting angles. Surfing the web and browsing through newspaper and magazine articles are good ways to start. Find out what people are saying about your topic on blogs and online discussion groups. Discussing your topic with others can also inspire you. Talk about your ideas with your classmates, your friends, or your instructor.

Jorge’s freewriting exercise helped him realize that the assigned topic of health and the media intersected with a few of his interests—diet, nutrition, and obesity. Preliminary online research and discussions with his classmates strengthened his impression that many people are confused or misled by media coverage of these subjects.

Jorge decided to focus his paper on a topic that had garnered a great deal of media attention—low-carbohydrate diets. He wanted to find out whether low-carbohydrate diets were as effective as their proponents claimed.

Writing at Work

At work, you may need to research a topic quickly to find general information. This information can be useful in understanding trends in a given industry or generating competition. For example, a company may research a competitor’s prices and use the information when pricing their own product. You may find it useful to skim a variety of reliable sources and take notes on your findings.

Tip

The reliability of online sources varies greatly. In this exploratory phase of your research, you do not need to evaluate sources as closely as you will later. However, use common sense as you refine your paper topic. If you read a fascinating blog comment that gives you a new idea for your paper, be sure to check out other, more reliable sources as well to make sure the idea is worth pursuing.

Exercise 2

Review the list of topics you created in Note 11.18 “Exercise 1” and identify two or three topics you would like to explore further. For each of these topics, spend five to ten minutes writing about the topic without stopping. Then review your writing to identify possible areas of focus.

Set aside time to conduct preliminary research about your potential topics. Then choose a topic to pursue for your research paper.

Collaboration

Please share your topic list with a classmate. Select one or two topics on his or her list that you would like to learn more about and return it to him or her. Discuss why you found the topics interesting, and learn which of your topics your classmate selected and why.

A Plan for Research

Your freewriting and preliminary research have helped you choose a focused, manageable topic for your research paper. To work with your topic successfully, you will need to determine what exactly you want to learn about it—and later, what you want to say about it. Before you begin conducting in-depth research, you will further define your focus by developing a research questionA broad, open-ended question that a writer uses to guide the research process. In the research paper, the writer attempts to answer the question thoughtfully., a working thesis, and a research proposal.

Formulating a Research Question

In forming a research question, you are setting a goal for your research. Your main research question should be substantial enough to form the guiding principle of your paper—but focused enough to guide your research. A strong research question requires you not only to find information but also to put together different pieces of information, interpret and analyze them, and figure out what you think. As you consider potential research questions, ask yourself whether they would be too hard or too easy to answer.

To determine your research question, review the freewriting you completed earlier. Skim through books, articles, and websites and list the questions you have. (You may wish to use the 5WH strategy to help you formulate questions. See Chapter 8 “The Writing Process: How Do I Begin?” for more information about 5WH questions.) Include simple, factual questions and more complex questions that would require analysis and interpretation. Determine your main question—the primary focus of your paper—and several subquestions that you will need to research to answer your main question.

Here are the research questions Jorge will use to focus his research. Notice that his main research question has no obvious, straightforward answer. Jorge will need to research his subquestions, which address narrower topics, to answer his main question.

Exercise 3

Using the topic you selected in Note 11.24 “Exercise 2”, write your main research question and at least four to five subquestions. Check that your main research question is appropriately complex for your assignment.

Constructing a Working ThesIs

A working thesis concisely states a writer’s initial answer to the main research question. It does not merely state a fact or present a subjective opinion. Instead, it expresses a debatable idea or claim that you hope to prove through additional research. Your working thesis is called a working thesisThe first, preliminary thesis statement that a writer uses while outlining an essay. A working thesis statement may change during the writing process. for a reason—it is subject to change. As you learn more about your topic, you may change your thinking in light of your research findings. Let your working thesis serve as a guide to your research, but do not be afraid to modify it based on what you learn.

Jorge began his research with a strong point of view based on his preliminary writing and research. Read his working thesis statement, which presents the point he will argue. Notice how it states Jorge’s tentative answer to his research question.

Tip

One way to determine your working thesis is to consider how you would complete sentences such as I believe or My opinion is. However, keep in mind that academic writing generally does not use first-person pronouns. These statements are useful starting points, but formal research papers use an objective voice.

Exercise 4

Write a working thesis statement that presents your preliminary answer to the research question you wrote in Note 11.27 “Exercise 3”. Check that your working thesis statement presents an idea or claim that could be supported or refuted by evidence from research.

Creating a Research Proposal

A research proposalA brief document that includes a writer’s main research question, related subquestions, working thesis, and plan for gathering information. is a brief document—no more than one typed page—that summarizes the preliminary work you have completed. Your purpose in writing it is to formalize your plan for research and present it to your instructor for feedback. In your research proposal, you will present your main research question, related subquestions, and working thesis. You will also briefly discuss the value of researching this topic and indicate how you plan to gather information.

When Jorge began drafting his research proposal, he realized that he had already created most of the pieces he needed. However, he knew he also had to explain how his research would be relevant to other future health care professionals. In addition, he wanted to form a general plan for doing the research and identifying potentially useful sources. Read Jorge’s research proposal.

Writing at Work

Before you begin a new project at work, you may have to develop a project summary document that states the purpose of the project, explains why it would be a wise use of company resources, and briefly outlines the steps involved in completing the project. This type of document is similar to a research proposal. Both documents define and limit a project, explain its value, discuss how to proceed, and identify what resources you will use.

Writing Your Own Research Proposal

Now you may write your own research proposal, if you have not done so already. Follow the guidelines provided in this lesson.

Planning Your Project

Each step of a research project requires time and attention. Careful planning helps ensure that you will keep your project running smoothly and produce your best work. Set up a project scheduleA document outlining the tasks involved in each step of the research project with a target date for completing each step. that shows when you will complete each step. Think about how you will complete each step and what project resourcesThe documents, tools, or people that a writer relies on to complete a research project. Examples of project resources include library databases, personal computers, style guides, and tutors. you will use. Resources may include anything from library databases and word-processing software to interview subjects and writing tutors.

To develop your schedule, use a calendar and work backward from the date your final draft is due. Generally, it is wise to divide half of the available time on the research phase of the project and half on the writing phase. For example, if you have a month to work, plan for two weeks for each phase. If you have a full semester, plan to begin research early and to start writing by the middle of the term. You might think that no one really works that far ahead, but try it. You will probably be pleased with the quality of your work and with the reduction in your stress level.

As you plan, break down major steps into smaller tasks if necessary. For example, step 3, conducting research, involves locating potential sources, evaluating their usefulness and reliability, reading, and taking notes. Defining these smaller tasks makes the project more manageable by giving you concrete goals to achieve.

Jorge had six weeks to complete his research project. Working backward from a due date of May 2, he mapped out a schedule for completing his research by early April so that he would have ample time to write. Jorge chose to write his schedule in his weekly planner to help keep himself on track.

Review Jorge’s schedule. Key target dates are shaded. Note that Jorge planned times to use available resources by visiting the library and writing center and by meeting with his instructor.

Staying Organized

Although setting up a schedule is easy, sticking to one is challenging. Even if you are the rare person who never procrastinates, unforeseen events may interfere with your ability to complete tasks on time. A self-imposed deadline may slip your mind despite your best intentions. Organizational tools—calendars, checklists, note cards, software, and so forth—can help you stay on track.

Throughout your project, organize both your time and your resources systematically. Review your schedule frequently and check your progress. It helps to post your schedule in a place where you will see it every day. Both personal and workplace e-mail systems usually include a calendar feature where you can record tasks, arrange to receive daily reminders, and check off completed tasks. Electronic devices such as smartphones have similar features.

Organize project documents in a binder or electronic folder, and label project documents and folders clearly. Use note cards or an electronic document to record bibliographical information for each source you plan to use in your paper. Tracking this information throughout the research process can save you hours of time when you create your references page.

Anticipating Challenges

Do any of these scenarios sound familiar? You have identified a book that would be a great resource for your project, but it is currently checked out of the library. You planned to interview a subject matter expert on your topic, but she calls to reschedule your meeting. You have begun writing your draft, but now you realize that you will need to modify your thesis and conduct additional research. Or you have finally completed your draft when your computer crashes, and days of hard work disappear in an instant.

These troubling situations are all too common. No matter how carefully you plan your schedule, you may encounter a glitch or setback. Managing your project effectively means anticipating potential problems, taking steps to minimize them where possible, and allowing time in your schedule to handle any setbacks.

Many times a situation becomes a problem due only to lack of planning. For example, if a book is checked out of your local library, it might be available through interlibrary loan, which usually takes a few days for the library staff to process. Alternatively, you might locate another, equally useful source. If you have allowed enough time for research, a brief delay will not become a major setback.

You can manage other potential problems by staying organized and maintaining a take-charge attitude. Take a minute each day to save a backup copy of your work on a portable hard drive. Maintain detailed note cards and source cards as you conduct research—doing so will make citing sources in your draft infinitely easier. If you run into difficulties with your research or your writing, ask your instructor for help, or make an appointment with a writing tutor.

Locating Useful Resources

When you chose a paper topic and determined your research questions, you conducted preliminary research to stimulate your thinking. Your research proposal included some general ideas for how to go about your research—for instance, interviewing an expert in the field or analyzing the content of popular magazines. You may even have identified a few potential sources. Now it is time to conduct a more focused, systematic search for informative primary and secondary sources.

Using Primary and Secondary Sources

Writers classify research resources in two categories: primary sources and secondary sources. Primary sources are direct, firsthand sources of information or data. For example, if you were writing a paper about the First Amendment right to freedom of speech, the text of the First Amendment in the Bill of Rights would be a primary source.

Other primary sources include the following:

• Research articles
• Literary texts
• Historical documents such as diaries or letters
• Autobiographies or other personal accounts

Secondary sources discuss, interpret, analyze, consolidate, or otherwise rework information from primary sources. In researching a paper about the First Amendment, you might read articles about legal cases that involved First Amendment rights, or editorials expressing commentary on the First Amendment. These sources would be considered secondary sources because they are one step removed from the primary source of information.

The following are examples of secondary sources:

• Magazine articles
• Biographical books
• Literary and scientific reviews
• Television documentaries

Your topic and purpose determine whether you must cite both primary and secondary sources in your paper. Ask yourself which sources are most likely to provide the information that will answer your research questions. If you are writing a research paper about reality television shows, you will need to use some reality shows as a primary source, but secondary sources, such as a reviewer’s critique, are also important. If you are writing about the health effects of nicotine, you will probably want to read the published results of scientific studies, but secondary sources, such as magazine articles discussing the outcome of a recent study, may also be helpful.

Once you have thought about what kinds of sources are most likely to help you answer your research questions, you may begin your search for print and electronic resources. The challenge here is to conduct your search efficiently. Writers use strategies to help them find the sources that are most relevant and reliable while steering clear of sources that will not be useful.

Evaluating Research Resources

As you gather sources, you will need to examine them with a critical eye. Smart researchers continually ask themselves two questions: “Is this source relevant to my purpose?” and “Is this source reliable?” The first question will help you avoid wasting valuable time reading sources that stray too far from your specific topic and research questions. The second question will help you find accurate, trustworthy sources.

Managing Source Information

As you determine which sources you will rely on most, it is important to establish a system for keeping track of your sources and taking notes. There are several ways to go about it, and no one system is necessarily superior. What matters is that you keep materials in order; record bibliographical information you will need later; and take detailed, organized notes.